| Organisation | Role | Activity | From | Until |
|---|---|---|---|---|
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | RO | Advising on corporate finance | 2022-08-30 | - |
| RO | Advising on securities | 2022-08-30 | - | |
| RO | Dealing in securities | 2022-08-30 | - | |
| BFIN Private Advisors (Hong Kong) Limited | RO | Advising on corporate finance | 2016-10-13 | 2019-09-01 |
| RO | Advising on securities | 2015-11-16 | 2019-09-01 | |
| RO | Dealing in securities | 2015-11-16 | 2019-09-01 | |
| Rep | Advising on securities | 2015-07-16 | 2015-11-16 | |
| Rep | Dealing in securities | 2015-07-16 | 2015-11-16 | |
| MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2013-09-27 | 2015-03-31 |
| Rep | Dealing in securities | 2013-09-27 | 2015-03-31 | |
| Macquarie Corporate (Hong Kong) Limited | Rep | Advising on corporate finance | 2013-09-27 | 2015-03-31 |
| UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2012-06-07 | 2013-03-01 |
| BOCOM International (Asia) Limited | Rep | Advising on corporate finance | 2009-05-12 | 2010-05-27 |
| Rep | Dealing in securities | 2009-05-12 | 2010-05-27 | |
| Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2007-12-06 | 2008-12-10 |
| Rep | Advising on securities | 2007-12-06 | 2008-12-10 | |
| Rep | Dealing in securities | 2007-12-06 | 2008-12-10 | |
| ANGLO CHINESE CORPORATE FINANCE, LIMITED | Rep | Advising on corporate finance | 2005-09-08 | 2006-09-16 |
| CORE PACIFIC-YAMAICHI CAPITAL LIMITED | Rep | Advising on corporate finance | 2004-04-26 | 2005-08-24 |
| CSC ASIA LIMITED | Rep | Advising on securities | 2003-04-01 | 2004-03-30 |
| Rep | Asset management | 2003-04-01 | 2004-03-30 | |
| Rep | Advising on corporate finance | 2003-04-01 | 2004-04-13 |
No HKMA registrations in the collected records.