Personnel SFC Licences and HKMA Registrations (ID 2638831)

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 corporate finance	2019-04-23	-
	Rep	Advising on securities	2019-04-23	-
CLSA LIMITED	Rep	Advising on securities	2019-04-23	-
	Rep	Dealing in securities	2019-04-23	-
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2016-09-29	2019-04-20
	Rep	Advising on securities	2016-09-29	2019-04-20
	Rep	Dealing in securities	2016-09-29	2019-04-20

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.