Personnel SFC Licences and HKMA Registrations (ID 13958593)

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 (Hong Kong) Limited	RO	Advising on corporate finance	2026-06-08	-
	RO	Advising on securities	2026-06-08	-
CLSA LIMITED	RO	Dealing in securities	2026-06-08	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2021-07-12	2026-06-08
	Rep	Advising on securities	2021-07-12	2026-06-08
CLSA LIMITED	Rep	Dealing in securities	2021-07-12	2026-06-08
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2018-09-06	2021-06-18
	Rep	Advising on corporate finance	2018-04-19	2021-06-18
	Rep	Dealing in securities	2018-04-19	2021-06-18
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2018-04-19	2021-06-18

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.