Personnel SFC Licences and HKMA Registrations (ID 2516594)

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	Rep	Advising on securities	2021-11-25	-
	Rep	Advising on corporate finance	2021-09-10	-
CLSA LIMITED	Rep	Dealing in securities	2021-09-10	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2018-12-04	2021-07-16
	Rep	Advising on corporate finance	2018-11-21	2021-07-16
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2015-12-21	2018-09-21

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.