Personnel SFC Licences and HKMA Registrations (ID 15394403)

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 Brokerage (HK) Limited	Rep	Advising on securities	2020-09-25	-
	Rep	Dealing in securities	2020-09-25	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2020-09-25	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-08-19	2020-09-11
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-07-16	2020-09-11
	Rep	Dealing in securities	2019-07-16	2020-09-11
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2018-05-23	2019-07-04
	Rep	Asset management	2018-05-23	2019-07-04
	Rep	Dealing in securities	2018-05-23	2019-07-04

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.