Personnel SFC Licences and HKMA Registrations (ID 122524)

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
CLSA LIMITED	Rep	Dealing in securities	2023-08-25	-
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2013-02-01	2014-09-30
KGI ASIA LIMITED	Rep	Advising on securities	2007-08-17	2009-07-01

HKMA registrations

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

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