Personnel SFC Licences and HKMA Registrations (ID 12650984)

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
TFI Securities and Futures Limited	Rep	Dealing in securities	2026-09-28	-
TFI Capital Limited	Rep	Advising on corporate finance	2026-09-11	-
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2023-05-10	2026-04-25
	Rep	Advising on corporate finance	2017-12-19	2023-05-10

HKMA registrations

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

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