Personnel SFC Licences and HKMA Registrations (ID 2585433)

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 MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2026-05-29	-
	Rep	Dealing in securities	2026-05-14	-
	Rep	Advising on corporate finance	2026-05-14	2026-05-29
CCB INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2023-12-18	2026-04-14
	RO	Advising on securities	2023-12-18	2026-04-14
	RO	Dealing in securities	2023-12-18	2026-04-14
	Rep	Advising on securities	2018-05-16	2023-12-18
	Rep	Advising on corporate finance	2018-05-04	2023-12-18
	Rep	Dealing in securities	2018-05-04	2023-12-18
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2016-05-31	2018-04-20
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	Rep	Advising on corporate finance	2016-05-31	2018-04-20

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.