Personnel SFC Licences and HKMA Registrations (ID 1907459)

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	2022-10-12	-
	RO	Advising on securities	2022-10-12	-
CLSA LIMITED	RO	Dealing in securities	2022-10-12	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2018-08-15	2022-10-12
CLSA LIMITED	Rep	Advising on securities	2018-08-15	2021-07-20
	Rep	Dealing in securities	2018-08-15	2022-10-12
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-06-04	2022-10-12
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2018-03-15
	Rep	Advising on corporate finance	2012-06-07	2016-12-18

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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