Personnel SFC Licences and HKMA Registrations (ID 2346714)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on corporate finance	2022-06-07	-
	Rep	Dealing in securities	2022-06-07	-
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2021-08-20	2022-02-23
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-06-14	2021-05-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2017-06-14	2021-05-04
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Advising on corporate finance	2015-11-16	2017-05-21
	Rep	Dealing in securities	2015-11-16	2017-05-21
Octal Capital Limited	Rep	Advising on corporate finance	2014-11-17	2015-11-14
	Rep	Dealing in securities	2014-11-17	2015-11-14

HKMA registrations

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

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