Personnel SFC Licences and HKMA Registrations (ID 1948157)

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
Jefferies Hong Kong Limited	RO	Dealing in securities	2026-02-23	-
	Rep	Dealing in securities	2025-05-20	2026-02-23
CITIC Securities International Global Markets Limited	RO	Dealing in securities	2024-09-20	2025-02-14
CLSA LIMITED	RO	Dealing in securities	2024-09-20	2025-02-14
CITIC Securities International Global Markets Limited	Rep	Dealing in securities	2023-03-21	2024-09-20
CLSA LIMITED	Rep	Dealing in securities	2019-07-08	2024-09-20
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2013-12-23	2016-02-15
CLSA LIMITED	Rep	Dealing in securities	2012-09-03	2019-06-12

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.