Personnel SFC Licences and HKMA Registrations (ID 12807749)

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
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2022-03-11	-
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2022-01-20	2022-02-15
	Rep	Dealing in securities	2022-01-20	2022-02-15
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2020-04-06	2021-12-21
	Rep	Dealing in securities	2020-04-06	2021-12-21
oOo Securities (HK) Group Limited	Rep	Advising on corporate finance	2018-02-23	2020-01-23
	Rep	Advising on securities	2018-02-23	2020-01-23
	Rep	Dealing in securities	2018-02-23	2020-01-23

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.