Personnel SFC Licences and HKMA Registrations (ID 22118077)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2026-06-10	-
	Rep	Dealing in securities	2026-06-10	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2026-06-10	-
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on futures contracts	2025-07-28	2025-10-11
	Rep	Advising on securities	2025-07-28	2025-10-11
	Rep	Dealing in futures contracts	2025-07-28	2025-10-11
	Rep	Dealing in securities	2025-06-24	2025-10-11
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Dealing in securities	2023-05-22	2025-05-24
AJ Securities Limited	Rep	Dealing in securities	2018-08-31	2023-04-28

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.