Personnel SFC Licences and HKMA Registrations (ID 2257110)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2026-03-19	-
	Rep	Dealing in securities	2026-03-19	-
	Rep	Advising on securities	2021-02-19	2026-03-18
	Rep	Dealing in securities	2021-02-19	2026-03-18
CITIC Securities International Global Markets Limited	Rep	Advising on securities	2019-04-24	2021-01-08
	Rep	Dealing in securities	2017-06-26	2021-01-08
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2014-04-09	2021-01-08

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.