Personnel SFC Licences and HKMA Registrations (ID 2641370)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2022-03-31	-
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2018-10-02	2021-06-18
Quam Securities Limited	Rep	Advising on securities	2016-10-05	2018-09-07

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.