Personnel SFC Licences and HKMA Registrations (ID 11791958)

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
SBI China Capital Financial Services Limited	Rep	Dealing in securities	2021-06-17	-
	Rep	Advising on securities	2021-06-08	-
	Rep	Asset management	2021-06-08	-
PICC Asset Management (Hong Kong) Company Limited	Rep	Asset management	2020-04-07	2021-05-28
	Rep	Advising on securities	2019-09-13	2021-05-28
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2017-08-22	2019-08-30
	Rep	Dealing in securities	2017-08-22	2019-08-30

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.