Personnel SFC Licences and HKMA Registrations (ID 117781)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2016-07-18	-
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2015-05-13	2016-06-26
	Rep	Asset management	2015-05-13	2016-06-26
	Rep	Dealing in securities	2015-05-13	2016-06-26
SOUTH CHINA RESEARCH LIMITED	Rep	Advising on securities	2014-10-27	2015-04-30
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2013-09-12	2014-06-14
Funderstone Securities Limited	Rep	Advising on securities	2012-08-07	2013-01-31
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2012-06-01	2012-07-18
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in securities	2012-04-16	2012-05-24
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2010-11-17	2011-05-21
Mason Securities Limited	Rep	Advising on securities	2006-11-13	2010-06-26
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2006-02-27	2006-06-20

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.