Personnel SFC Licences and HKMA Registrations (ID 22690130)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2026-01-20	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2021-07-26	2023-11-01
	Rep	Advising on securities	2021-07-26	2023-11-01
	Rep	Dealing in securities	2021-07-26	2023-11-01
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2020-10-29	2021-06-10
	Rep	Advising on securities	2020-10-29	2021-06-10
CLSA LIMITED	Rep	Advising on securities	2020-10-29	2021-06-10
	Rep	Dealing in securities	2020-10-29	2021-06-10
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	Rep	Advising on securities	2019-01-24	2019-05-31
	Rep	Asset management	2019-01-24	2019-05-31

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.