Personnel SFC Licences and HKMA Registrations (ID 2442476)

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
CNCB (Hong Kong) Capital Limited	Rep	Dealing in securities	2020-10-14	-
	Rep	Asset management	2020-10-14	2023-11-06
	Rep	Advising on securities	2020-09-18	-
CMB International Securities Limited	Rep	Advising on securities	2017-05-15	2020-06-24
	Rep	Dealing in securities	2016-05-11	2017-06-12
GUODU FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2015-10-29	2016-04-29
	Rep	Dealing in futures contracts	2015-10-29	2016-04-29
GUODU SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2015-06-30	2016-04-29
	Rep	Dealing in securities	2015-06-30	2016-04-29

HKMA registrations

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

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