Personnel SFC Licences and HKMA Registrations (ID 2153468)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2023-05-03	-
	RO	Dealing in securities	2023-05-03	-
	Rep	Advising on corporate finance	2022-03-16	2023-05-03
	Rep	Dealing in securities	2022-03-16	2023-05-03
China Securities (International) Corporate Finance Company Limited	Rep	Advising on corporate finance	2019-02-20	2022-02-07
	Rep	Dealing in securities	2019-02-20	2022-02-07
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2013-10-28	2015-04-16
	Rep	Dealing in securities	2013-10-28	2015-04-16

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.