Personnel SFC Licences and HKMA Registrations (ID 2120492)

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
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2026-09-23	-
	Rep	Advising on securities	2026-09-23	-
	Rep	Dealing in securities	2026-09-23	-
TFI Capital Limited	RO	Advising on corporate finance	2026-02-27	2026-08-31
	Rep	Advising on corporate finance	2025-09-30	2026-02-27
TFI Securities and Futures Limited	Rep	Dealing in securities	2025-09-30	2026-08-31
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2021-03-23	2025-05-21
Futu Securities International (HONG KONG) Limited	Rep	Dealing in securities	2020-07-30	2020-12-11
Mason Global Capital Limited	Rep	Advising on corporate finance	2018-09-21	2020-02-29
Mason Securities Limited	Rep	Dealing in securities	2018-09-21	2020-02-29
VMS Securities Limited	Rep	Advising on corporate finance	2017-07-20	2018-09-15
	Rep	Dealing in securities	2017-07-20	2018-09-15
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on corporate finance	2016-06-28	2017-07-09
	Rep	Dealing in securities	2016-06-28	2017-07-09
Partners Asset Management (HK) Limited	Rep	Advising on securities	2013-08-22	2014-07-29
	Rep	Asset management	2013-08-22	2014-07-29
PARTNERS CAPITAL INTERNATIONAL LIMITED	Rep	Advising on corporate finance	2013-08-22	2016-06-21
	Rep	Dealing in securities	2013-08-22	2016-06-21
PARTNERS CAPITAL SECURITIES LIMITED	Rep	Dealing in securities	2013-08-22	2014-09-15

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.