Personnel SFC Licences and HKMA Registrations (ID 2414536)

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2026-08-19	-
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on corporate finance	2024-02-02	2026-05-08
	Rep	Dealing in securities	2024-02-02	2026-05-08
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2018-05-25	2023-10-06
	Rep	Dealing in securities	2018-05-25	2023-10-06
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2015-04-30	2018-04-26
	Rep	Dealing in securities	2015-04-30	2018-04-26
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2015-04-30	2018-04-26

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.