Personnel SFC Licences and HKMA Registrations (ID 99054)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
First Shanghai Investment Management (HK) Limited	RO	Advising on securities	2015-03-18	-
	RO	Asset management	2015-03-18	-
China Alpha Fund Management (HK) Limited	RO	Advising on securities	2013-01-18	2014-08-31
	RO	Asset management	2013-01-18	2014-08-31
	Rep	Advising on securities	2011-08-10	2013-01-18
	Rep	Asset management	2011-08-10	2013-01-18
CCB INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2007-03-12	2008-08-04
CHINA SHENGHAI INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2006-06-16	2007-01-31
	Rep	Asset management	2006-06-16	2007-01-31
FIRST SHANGHAI SECURITIES LIMITED	Rep	Advising on securities	2004-07-30	2006-06-28
CHINA TONGHAI (IA) LIMITED	Rep	Advising on securities	2003-04-01	2004-04-12

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.