Personnel SFC Licences and HKMA Registrations (ID 2242293)

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	Dealing in securities	2021-06-01	-
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2019-05-30	-
	Rep	Dealing in securities	2019-05-30	-
	Rep	Dealing in futures contracts	2017-06-26	2019-01-02
	Rep	Dealing in securities	2017-06-26	2019-01-02
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-03-26	2017-06-25
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-03-26	2017-06-25
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2014-03-28	2015-03-16
	Rep	Advising on securities	2014-03-28	2015-03-16
	Rep	Dealing in securities	2014-03-28	2015-03-16

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.