Personnel SFC Licences and HKMA Registrations (ID 16544)

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
CEPA ALLIANCE SECURITIES LIMITED	RO	Advising on securities	2012-08-23	-
	RO	Dealing in securities	2005-05-18	-
	Rep	Dealing in securities	2005-04-25	2005-05-18
SHUN HENG SECURITIES LIMITED	RO	Advising on corporate finance	2003-04-01	2005-01-19
	RO	Advising on securities	2003-04-01	2005-01-19
	RO	Asset management	2003-04-01	2005-01-19
	RO	Dealing in securities	2003-04-01	2005-04-22

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.