Personnel SFC Licences and HKMA Registrations (ID 2526065)

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 Asset Management (HK) Limited	RO	Asset management	2026-08-31	-
	Rep	Asset management	2026-01-28	2026-08-31
CITIC Securities International Global Markets Limited	Rep	Advising on securities	2025-08-19	2026-02-12
NeoSpective Capital Limited	RO	Advising on securities	2023-05-17	2025-07-31
	RO	Asset management	2023-05-17	2025-07-31
	Rep	Advising on securities	2023-04-17	2023-05-17
	Rep	Asset management	2023-04-17	2023-05-17
ICBC Asset Management (Global) Company Limited	RO	Advising on futures contracts	2021-04-15	2023-02-27
	RO	Advising on securities	2021-04-15	2023-02-27
	RO	Asset management	2021-04-15	2023-02-27
	Rep	Advising on futures contracts	2020-01-15	2021-04-15
	Rep	Advising on securities	2020-01-02	2021-04-15
	Rep	Asset management	2020-01-02	2021-04-15
Bosera Asset Management (International) Co., Limited	Rep	Advising on securities	2016-01-13	2019-11-15
	Rep	Asset management	2016-01-13	2019-11-15
	Rep	Dealing in securities	2016-01-13	2019-11-15

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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