Personnel SFC Licences and HKMA Registrations (ID 2623348)

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
Patrons Capital Limited	RO	Advising on corporate finance	2026-07-02	-
	Rep	Dealing in securities	2026-04-13	-
	Rep	Advising on corporate finance	2026-04-13	2026-07-02
Grande Capital Limited	Rep	Dealing in securities	2024-11-18	2026-03-16
	RO	Advising on corporate finance	2021-04-07	2026-03-16
	Rep	Advising on corporate finance	2020-10-14	2021-04-07
Yue Xiu Capital Limited	Rep	Advising on corporate finance	2019-07-11	2020-10-05
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2016-08-25	2019-07-05

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.