Personnel SFC Licences and HKMA Registrations (ID 1972492)

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
NEW REGION SECURITIES COMPANY LIMITED	Rep	Advising on securities	2024-11-08	-
	Rep	Asset management	2024-11-08	-
	Rep	Dealing in securities	2024-11-08	-
	Rep	Asset management	2023-02-13	2023-06-06
	Rep	Dealing in securities	2023-02-13	2023-06-06
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Dealing in securities	2020-08-26	2021-02-23
	Rep	Advising on securities	2020-07-10	2021-02-23
	Rep	Asset management	2020-07-10	2021-02-23
Xen Capital (HK) Limited	Rep	Advising on securities	2019-08-06	2020-06-29
	Rep	Asset management	2019-08-06	2020-06-29
YUE XIU SECURITIES COMPANY LIMITED	Rep	Advising on securities	2018-05-21	2018-11-15
	Rep	Dealing in securities	2018-05-21	2018-11-15
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Dealing in securities	2016-06-21	2017-01-16
KGI ASIA LIMITED	Rep	Dealing in securities	2015-02-23	2016-06-13
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2012-10-30	2014-08-18

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.