Personnel SFC Licences and HKMA Registrations (ID 136112)

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
KGI ASIA LIMITED	Rep	Dealing in securities	2025-11-17	-
KOREA INVESTMENT &AMP; SECURITIES ASIA LIMITED	Rep	Advising on securities	2023-11-24	2025-11-01
	Rep	Dealing in securities	2023-11-24	2025-11-01
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2017-08-10	2023-08-15
	Rep	Advising on securities	2017-08-10	2023-08-15
	Rep	Dealing in securities	2017-08-10	2023-08-15
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2012-01-12	2017-06-22
	Rep	Dealing in securities	2012-01-12	2017-06-22

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.