Personnel SFC Licences and HKMA Registrations (ID 2383986)

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	2026-08-24	-
CMB International Securities Limited	Rep	Dealing in securities	2025-04-22	2026-07-31
CMB International Capital Limited	RO	Advising on corporate finance	2025-03-10	2026-07-31
	Rep	Dealing in securities	2021-09-23	2026-07-31
	Rep	Advising on corporate finance	2021-08-13	2025-03-10
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2016-10-27	2021-07-02
Soochow Securities International Capital Limited	Rep	Advising on corporate finance	2015-02-11	2016-09-24

HKMA registrations

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

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