Personnel SFC Licences and HKMA Registrations (ID 115277)

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
UOB KAY HIAN (HONG KONG) LIMITED	RO	Advising on corporate finance	2017-08-29	-
	RO	Advising on securities	2017-08-29	-
	RO	Dealing in securities	2017-08-29	-
	Rep	Advising on corporate finance	2017-06-23	2017-08-29
	Rep	Advising on securities	2017-06-23	2017-08-29
	Rep	Dealing in securities	2017-06-23	2017-08-29
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2016-12-21	2017-05-22
	Rep	Advising on securities	2016-12-21	2017-05-22
	Rep	Dealing in securities	2016-12-21	2017-05-22
RED CAPITAL GROUP LIMITED	RO	Advising on corporate finance	2014-12-08	2016-06-20
	RO	Advising on securities	2014-12-08	2016-06-20
	Rep	Advising on corporate finance	2014-10-14	2014-12-08
	Rep	Advising on securities	2014-10-14	2014-12-08
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2013-08-09	2014-04-07
	Rep	Advising on securities	2013-08-09	2014-04-07
	Rep	Dealing in securities	2013-08-09	2014-04-07
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	2012-08-30	2013-08-02
	Rep	Dealing in securities	2012-08-01	2013-08-02
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2005-01-25	2009-08-11
	Rep	Dealing in securities	2005-01-25	2009-08-11

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.