Personnel SFC Licences and HKMA Registrations (ID 104822)

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
CITIC CLSA Capital Partners HK Limited	Rep	Dealing in securities	2025-08-27	-
CLSA LIMITED	Rep	Dealing in securities	2017-10-11	2025-11-27
CITIC CLSA Capital Partners HK Limited	Rep	Advising on securities	2017-05-05	-
	Rep	Asset management	2017-05-05	-
Carlyle Global Credit (Asia) Limited	RO	Asset management	2015-04-02	2016-11-01
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Dealing in securities	2003-04-01	2004-06-17

HKMA registrations

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

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