Personnel SFC Licences and HKMA Registrations (ID 13880744)

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
CITIC Securities International Global Markets Limited	Rep	Advising on securities	2025-01-20	-
	Rep	Dealing in futures contracts	2025-01-20	-
	Rep	Dealing in securities	2025-01-20	-
GROW Asset Management (HK) Limited	Rep	Advising on securities	2023-12-13	2024-12-16
	Rep	Asset management	2023-12-13	2024-12-16
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2022-05-18	2022-11-22
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2021-06-21	2023-11-07
	Rep	Dealing in securities	2021-05-25	2023-11-07
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2018-04-16	2021-05-06

HKMA registrations

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

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