Personnel SFC Licences and HKMA Registrations (ID 123886)

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
CMB International Global Markets Limited	RO	Dealing in securities	2026-07-17	-
CMB International Securities Limited	RO	Dealing in securities	2026-07-17	-
CMB International Global Markets Limited	Rep	Dealing in securities	2021-09-17	2026-07-17
CMB International Securities Limited	Rep	Dealing in securities	2018-04-03	2026-07-17
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	Rep	Advising on securities	2013-10-30	2017-04-28
	Rep	Asset management	2013-10-30	2017-04-28
	Rep	Dealing in securities	2013-10-30	2017-04-28
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2012-03-22	2014-12-15
	Rep	Asset management	2012-03-22	2014-12-15
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2007-12-18	2011-04-01
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2007-12-18	2011-04-01

HKMA registrations

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

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