Personnel SFC Licences and HKMA Registrations (ID 1852316)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2020-03-25	-
	RO	Dealing in securities	2020-03-25	-
	Rep	Advising on securities	2019-09-27	-
	Rep	Advising on corporate finance	2019-09-04	2020-03-25
	Rep	Dealing in securities	2019-09-04	2020-03-25
CMB International Capital Limited	Rep	Advising on corporate finance	2017-09-29	2019-08-09
	Rep	Dealing in securities	2017-09-29	2019-08-09
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-08-10	2017-08-11
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2015-10-30	2017-08-11
	Rep	Dealing in securities	2015-10-30	2017-08-11
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2012-02-13	2015-10-16

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.