Personnel SFC Licences and HKMA Registrations (ID 1931676)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2025-06-23	-
	Rep	Dealing in futures contracts	2025-06-20	-
	Rep	Advising on futures contracts	2022-09-13	2022-11-30
	Rep	Dealing in futures contracts	2022-09-13	2022-11-30
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2016-03-15	2020-04-16
	Rep	Dealing in securities	2016-03-15	2020-04-16
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2014-05-07	2015-10-27
	Rep	Dealing in securities	2014-05-07	2015-10-27
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2013-08-07	2014-04-26
SG SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2012-07-27	2013-07-27
	Rep	Dealing in securities	2012-07-27	2013-07-27

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.