Personnel SFC Licences and HKMA Registrations (ID 2379754)

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 MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2022-07-21	-
	Rep	Dealing in securities	2022-07-21	-
ZHONGTAI INTERNATIONAL CAPITAL LIMITED	Rep	Dealing in securities	2021-06-16	2022-07-01
	Rep	Advising on corporate finance	2021-06-08	2022-07-01
FIRST SHANGHAI CAPITAL LIMITED	Rep	Advising on corporate finance	2018-10-25	2021-05-21
EMPEROR CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	2017-07-17	2018-10-10
	Rep	Dealing in securities	2017-07-17	2018-10-10
PLATINUM SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2016-12-05	2017-03-31
	Rep	Dealing in securities	2016-12-05	2017-03-31
KOALA SECURITIES LIMITED	Rep	Dealing in securities	2015-10-14	2016-11-11
CNI Securities Group Limited	Rep	Dealing in securities	2015-02-03	2015-10-06

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.