Personnel SFC Licences and HKMA Registrations (ID 1922937)

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
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Advising on securities	2020-02-11	-
	RO	Dealing in securities	2020-02-11	-
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2019-12-23	-
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Advising on securities	2019-11-21	2020-02-11
	Rep	Dealing in securities	2019-11-21	2020-02-11
Tongfang Securities Limited	RO	Advising on securities	2019-03-01	2019-11-08
	RO	Dealing in securities	2019-03-01	2019-11-08
	RO	Advising on securities	2018-11-29	2019-01-10
	RO	Dealing in securities	2018-11-29	2019-01-10
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2017-06-30	2018-09-21
	RO	Dealing in securities	2017-06-30	2018-09-21
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2017-06-14	2018-09-21
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2012-09-13	2017-06-30
	Rep	Dealing in securities	2012-07-10	2017-06-30

HKMA registrations

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

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