Personnel SFC Licences and HKMA Registrations (ID 12665662)

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

No SFC licenses available

HKMA registrations

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

HKMA registration number: AH5951

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
東亞銀行有限公司	Dealing in securities	Non-EO	SENIOR DEALER	2025-01-08	—	Current
東亞銀行有限公司	Dealing in securities	Non-EO	—	2021-09-14	2024-08-08	Former
大新銀行有限公司	Dealing in securities	Non-EO	—	2019-10-15	2021-07-31	Former
大新銀行有限公司	Advising on securities	Non-EO	—	2019-10-15	2021-07-31	Former
香港上海滙豐銀行有限公司	Dealing in securities	Non-EO	—	2019-05-30	2019-09-27	Former
香港上海滙豐銀行有限公司	Advising on securities	Non-EO	—	2019-05-30	2019-09-27	Former
上海商業銀行有限公司	Dealing in securities	Non-EO	—	2017-10-02	2019-04-14	Former
上海商業銀行有限公司	Advising on securities	Non-EO	—	2017-10-02	2019-04-14	Former