Personnel SFC Licences and HKMA Registrations (ID 2078803)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2026-04-30	-
	Rep	Advising on securities	2026-04-30	-
CLSA LIMITED	Rep	Dealing in securities	2026-04-30	-
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2026-01-14	2026-03-16
	Rep	Dealing in securities	2026-01-14	2026-03-16
UOB KAY HIAN (HONG KONG) LIMITED	RO	Advising on corporate finance	2021-03-04	2025-12-02
	Rep	Dealing in securities	2021-03-04	2025-12-02
	Rep	Advising on corporate finance	2020-11-17	2021-03-04
Kingsman HK Capital Limited	RO	Advising on corporate finance	2019-07-31	2020-11-09
RaffAello Capital Limited	Rep	Advising on corporate finance	2013-06-03	2018-09-20

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.