Personnel SFC Licences and HKMA Registrations (ID 2371397)

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
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2024-01-18	-
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2021-12-09	2023-11-29
PRUDENTIAL BROKERAGE LIMITED	Rep	Dealing in securities	2019-02-20	2021-11-16
Mason Securities Limited	Rep	Dealing in securities	2017-09-28	2019-02-01
FOUNDER SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-08-21	2017-03-31
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2015-01-15	2015-08-15

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.