Personnel SFC Licences and HKMA Registrations (ID 11795553)

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2025-08-12	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2021-10-25	2025-07-03
	Rep	Dealing in securities	2021-10-25	2025-07-03
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2018-12-17	2021-09-30
	Rep	Advising on corporate finance	2018-11-23	2021-09-30
Changjiang Corporate Finance (HK) Limited	Rep	Advising on corporate finance	2017-08-31	2018-11-17

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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