Personnel SFC Licences and HKMA Registrations (ID 12755761)

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
NATIXIS ASIA LIMITED	Rep	Advising on securities	2019-06-27	-
	Rep	Dealing in securities	2019-06-27	-
CEB International Capital Corporation Limited	Rep	Advising on securities	2018-07-18	2019-05-17
	Rep	Advising on corporate finance	2018-07-17	2019-05-17
	Rep	Dealing in securities	2018-07-17	2019-05-17
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2018-02-01	2018-06-15
	Rep	Dealing in securities	2018-02-01	2018-06-15

HKMA registrations

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

HKMA registration number: AI2021

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
NATIXIS	Dealing in securities	Non-EO	DIRECTOR, BOND SYNDICATION & EMTN APAC	2019-07-04	—	Current
NATIXIS	Advising on securities	Non-EO	DIRECTOR, BOND SYNDICATION & EMTN APAC	2019-07-04	—	Current
NATIXIS	Advising on corporate finance	Non-EO	—	2019-07-04	2020-10-18	Former