Personnel SFC Licences and HKMA Registrations (ID 99777)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2013-05-21	-
	Rep	Dealing in securities	2013-05-21	-
Rabo Brokerage HK Limited	Rep	Dealing in securities	2010-09-17	2013-04-26

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.