Personnel SFC Licences and HKMA Registrations (ID 2453562)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2021-12-01	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2021-12-01	-
	Rep	Dealing in securities	2021-12-01	-
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2020-02-24	2021-10-31
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Asset management	2017-07-03	2021-10-31
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2017-07-03	2021-10-31
	Rep	Dealing in securities	2015-07-24	2021-10-31

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.