Personnel SFC Licences and HKMA Registrations (ID 115964)

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
MOUETTE SECURITIES COMPANY LIMITED	Rep	Advising on securities	2020-11-05	-
	Rep	Dealing in securities	2020-11-05	-
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2011-10-14	2012-06-23
	Rep	Dealing in securities	2011-10-14	2012-06-23
China Earthcare Capital Limited	RO	Advising on securities	2010-05-24	2010-08-16
	RO	Dealing in securities	2010-05-24	2010-08-16

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.