Personnel SFC Licences and HKMA Registrations (ID 108855)

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
HAITONG INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2025-08-20	-
	Rep	Advising on corporate finance	2025-02-06	2025-08-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2025-02-06	-
	Rep	Dealing in securities	2025-02-06	-
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2016-12-19	2023-05-19
	RO	Advising on corporate finance	2012-06-07	2016-12-18
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2004-04-23	2004-10-25
	Rep	Dealing in securities	2004-04-23	2004-10-25

HKMA registrations

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

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