Personnel SFC Licences and HKMA Registrations (ID 21137048)

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2023-11-03	-
	Rep	Dealing in securities	2023-11-03	-
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2018-07-31	2019-09-07
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2018-07-31	2019-09-07

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.