Personnel SFC Licences and HKMA Registrations (ID 2669516)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2023-09-29	-
	RO	Dealing in securities	2023-09-29	-
	Rep	Advising on securities	2019-11-29	-
	Rep	Advising on corporate finance	2019-11-04	2023-09-29
	Rep	Dealing in securities	2019-11-04	2023-09-29
CMB International Capital Limited	Rep	Advising on corporate finance	2016-12-07	2019-08-30
	Rep	Dealing in securities	2016-12-07	2019-08-30

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.