Personnel SFC Licences and HKMA Registrations (ID 127390)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	RO	Dealing in securities	2022-10-14	-
	RO	Advising on securities	2017-07-19	-
	RO	Asset management	2017-07-19	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2017-07-19	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2017-04-05	2017-07-19
	Rep	Asset management	2017-04-05	2017-07-19
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2017-04-05	2017-07-19
9M Stone Capital Limited	RO	Asset management	2016-09-05	2017-03-22
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-01-13	2010-07-30
	Rep	Dealing in securities	2009-01-13	2010-07-30

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.