Personnel SFC Licences and HKMA Registrations (ID 131133)

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
Lianhe Ratings Global Limited	RO	Providing credit rating services	2023-11-30	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2022-05-16	2023-07-18
	Rep	Dealing in securities	2022-05-16	2023-07-18
FITCH (HONG KONG) LIMITED	RO	Providing credit rating services	2017-06-29	2021-09-09
	Rep	Providing credit rating services	2015-01-29	2017-06-29
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2014-12-22	2015-01-07
	Rep	Dealing in securities	2014-12-22	2015-01-07
BOCI SECURITIES LIMITED	Rep	Advising on securities	2014-12-22	2015-01-07
	Rep	Dealing in securities	2014-12-22	2015-01-07
FITCH (HONG KONG) LIMITED	Rep	Providing credit rating services	2012-10-03	2014-12-12
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2011-06-01	2011-06-20

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.