Personnel SFC Licences and HKMA Registrations (ID 25043518)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2026-01-30	-
	RO	Advising on securities	2026-01-30	-
CLSA LIMITED	RO	Dealing in securities	2026-01-30	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2020-08-26	2026-01-30
	Rep	Advising on securities	2020-08-26	2026-01-30
CLSA LIMITED	Rep	Advising on securities	2020-08-26	2021-07-16
	Rep	Dealing in securities	2020-08-26	2026-01-30

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.