Personnel SFC Licences and HKMA Registrations (ID 2673006)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2026-08-10	-
	Rep	Advising on securities	2026-08-10	-
	Rep	Dealing in securities	2026-08-10	-
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2021-05-18	2026-03-04
	Rep	Dealing in securities	2021-05-18	2026-03-04
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2018-12-14	2021-03-19
	Rep	Advising on securities	2018-12-14	2021-03-19
	Rep	Dealing in securities	2018-12-14	2021-03-19
Wells Fargo Securities Asia Limited	Rep	Advising on corporate finance	2016-12-14	2018-10-11
	Rep	Advising on securities	2016-12-14	2018-10-11
	Rep	Dealing in securities	2016-12-14	2018-10-11

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.