Personnel SFC Licences and HKMA Registrations (ID 2639550)

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 INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2019-09-17	-
	Rep	Asset management	2019-09-17	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2019-09-17	-
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2018-03-21	2019-08-29
	Rep	Asset management	2018-03-21	2019-08-29
	Rep	Dealing in securities	2018-03-21	2019-08-29
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2016-09-30	2018-01-26

HKMA registrations

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

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