Personnel SFC Licences and HKMA Registrations (ID 24109309)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2026-10-27	-
	Rep	Dealing in securities	2026-10-27	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2026-10-27	-
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	Rep	Advising on securities	2023-04-28	2024-08-09
	Rep	Dealing in securities	2023-04-28	2024-08-09
oOo Securities (HK) Group Limited	Rep	Advising on corporate finance	2020-01-13	2023-03-31
	Rep	Advising on securities	2020-01-13	2023-03-31
	Rep	Dealing in securities	2020-01-13	2023-03-31

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.