Personnel SFC Licences and HKMA Registrations (ID 2412593)

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
Pantheon Securities Limited	RO	Dealing in securities	2026-10-14	-
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Dealing in securities	2026-01-23	2026-05-31
	Rep	Dealing in securities	2025-11-25	2026-01-23
	Rep	Dealing in futures contracts	2025-11-25	2026-05-31
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Dealing in securities	2021-12-22	2025-04-24
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2018-10-29	2021-06-17
	Rep	Dealing in securities	2018-06-08	2018-10-29
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2015-05-18	2015-05-22
	Rep	Dealing in securities	2015-05-18	2015-05-22
	Rep	Dealing in futures contracts	2015-04-17	2015-05-15
	Rep	Dealing in securities	2015-04-17	2015-05-15

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.