Personnel SFC Licences and HKMA Registrations (ID 1974574)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2026-03-19	-
	Rep	Advising on securities	2026-03-19	-
	Rep	Dealing in securities	2026-03-19	-
	Rep	Advising on corporate finance	2023-11-01	2026-03-18
	Rep	Advising on securities	2023-11-01	2026-03-18
	Rep	Dealing in securities	2023-11-01	2026-03-18
	Rep	Advising on corporate finance	2017-08-10	2021-11-30
	Rep	Advising on securities	2017-08-10	2021-11-30
	Rep	Dealing in securities	2017-08-10	2021-11-30
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2012-11-01	2017-05-05
	Rep	Advising on securities	2012-11-01	2017-05-05
	Rep	Dealing in securities	2012-11-01	2017-05-05

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.