Personnel SFC Licences and HKMA Registrations (ID 25118393)

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
CMBC International Capital Limited	Rep	Advising on corporate finance	2026-09-29	-
	Rep	Dealing in securities	2026-09-29	-
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2025-10-13	2026-09-02
	Rep	Dealing in securities	2025-10-13	2026-09-02
CAITONG INTERNATIONAL CAPITAL CO., LIMITED	Rep	Advising on corporate finance	2022-08-12	2025-09-17
	Rep	Dealing in securities	2022-08-12	2025-09-17
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Advising on securities	2020-09-11	2022-06-30

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.