Personnel SFC Licences and HKMA Registrations (ID 2159445)

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
CLSA LIMITED	RO	Dealing in securities	2025-08-15	-
	Rep	Dealing in securities	2021-07-20	2025-08-15
BOCI RESEARCH LIMITED	Rep	Advising on securities	2014-08-27	2015-08-06
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2013-11-07	2014-08-07

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.