Personnel SFC Licences and HKMA Registrations (ID 2357899)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2025-11-07	-
	RO	Dealing in securities	2025-11-07	-
	Rep	Advising on securities	2019-08-20	-
	Rep	Advising on corporate finance	2019-08-20	2025-11-07
	Rep	Dealing in securities	2019-08-20	2025-11-07
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2014-12-11	2019-07-16

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.