Personnel SFC Licences and HKMA Registrations (ID 22337602)

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
KB Securities Hong Kong Limited	Rep	Advising on corporate finance	2026-11-06	-
	Rep	Advising on securities	2026-11-06	-
	Rep	Dealing in securities	2026-11-06	-
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2022-07-27	2022-12-20
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2020-02-10	2022-12-20
	Rep	Dealing in securities	2020-02-10	2022-12-20
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2019-01-17	2019-10-31
	RO	Advising on securities	2019-01-17	2019-10-31
	RO	Dealing in securities	2019-01-17	2019-10-31
	Rep	Advising on corporate finance	2018-10-22	2019-01-17
	Rep	Advising on securities	2018-10-22	2019-01-17
	Rep	Dealing in securities	2018-10-22	2019-01-17

HKMA registrations

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

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