Personnel SFC Licences and HKMA Registrations (ID 2444687)

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
CLSA LIMITED	RO	Advising on securities	2021-03-05	-
	Rep	Advising on securities	2020-05-26	2021-03-05
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2015-07-06	2020-05-25

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.