Personnel SFC Licences and HKMA Registrations (ID 11667738)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2020-12-11	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-09-18	2020-09-11
	Rep	Advising on securities	2018-09-18	2020-09-11
CLSA LIMITED	Rep	Advising on securities	2018-09-18	2020-09-11
	Rep	Dealing in securities	2018-09-18	2020-09-11
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on corporate finance	2017-06-22	2018-08-31
	Rep	Advising on securities	2017-06-22	2018-08-31
	Rep	Dealing in securities	2017-06-22	2018-08-31

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.