Personnel SFC Licences and HKMA Registrations (ID 12110178)

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	Advising on securities	2026-08-11	-
	Rep	Dealing in futures contracts	2026-08-11	-
	Rep	Dealing in securities	2026-08-11	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2020-08-05	2026-07-23
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2020-08-05	2026-07-23
	Rep	Dealing in securities	2020-08-05	2026-07-23
SR Wealth Securities Limited	Rep	Advising on securities	2019-06-06	2020-07-21
	Rep	Dealing in securities	2017-10-16	2020-07-21

HKMA registrations

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

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