Personnel SFC Licences and HKMA Registrations (ID 2170315)

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
Soochow Securities International Asset Management Limited	RO	Asset management	2026-05-21	-
	Rep	Asset management	2026-03-20	2026-05-21
GLADWEALTH INVESTMENT GROUP LIMITED	RO	Asset management	2024-10-14	2025-08-08
	Rep	Asset management	2024-06-28	2024-10-14
CAITONG INTERNATIONAL CAPITAL CO., LIMITED	RO	Dealing in securities	2022-08-19	2024-04-22
Caitong International Asset Management Co., Limited	RO	Dealing in securities	2020-06-15	2024-04-22
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	RO	Dealing in securities	2018-12-06	2020-05-29
	Rep	Dealing in securities	2013-11-28	2018-12-06

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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