Personnel SFC Licences and HKMA Registrations (ID 153436)

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
CLSA LIMITED	Rep	Advising on securities	2020-12-18	-
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2019-04-16	2020-12-10
	Rep	Advising on securities	2012-01-16	2015-12-14

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.