Personnel SFC Licences and HKMA Registrations (ID 2182864)

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
SIIC CAPITAL (HONG KONG) INVESTMENT MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2026-05-12	-
	Rep	Asset management	2026-05-12	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2016-08-16	2018-12-14
	RO	Dealing in securities	2016-08-16	2018-12-14
	Rep	Advising on corporate finance	2016-03-03	2016-08-16
	Rep	Dealing in securities	2016-03-03	2016-08-16
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2013-12-19	2015-11-20

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.