Personnel SFC Licences and HKMA Registrations (ID 11780199)

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
Equities First Holdings Hong Kong Limited	RO	Dealing in securities	2023-08-14	-
	Rep	Dealing in securities	2020-10-07	2023-08-14
Jefferies Hong Kong Limited	Rep	Advising on securities	2019-03-04	2020-07-14
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2017-07-21	2019-03-01

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.