Personnel SFC Licences and HKMA Registrations (ID 22201203)

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
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2021-06-04	-
	Rep	Dealing in securities	2021-06-04	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2020-06-23	2021-05-13
CLSA LIMITED	Rep	Advising on securities	2020-06-23	2021-05-13
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2020-05-19	2021-05-13
CLSA LIMITED	Rep	Dealing in securities	2020-05-19	2021-05-13
ABCI CAPITAL LIMITED	Rep	Advising on corporate finance	2018-09-19	2020-04-29
	Rep	Dealing in securities	2018-09-19	2020-04-29

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.