Personnel SFC Licences and HKMA Registrations (ID 2695058)

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	Rep	Advising on securities	2026-01-06	-
	Rep	Dealing in futures contracts	2026-01-06	-
	Rep	Dealing in securities	2026-01-06	-
	Rep	Leveraged foreign exchange trading	2026-01-06	-
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2022-06-23	2025-11-06
	Rep	Dealing in securities	2022-06-23	2025-11-06
BOCOM International Securities Limited	Rep	Advising on securities	2021-02-09	2022-05-28
	Rep	Dealing in securities	2021-02-09	2022-05-28
BOCOM International Asset Management Limited	Rep	Asset management	2018-08-31	2020-03-16
	Rep	Advising on securities	2018-08-31	2021-02-25
	Rep	Dealing in securities	2018-08-31	2021-02-25
XinKong International Asset Management Limited	Rep	Asset management	2017-07-18	2018-08-16
XinKong International Securities Limited	Rep	Advising on securities	2017-07-18	2018-08-16
	Rep	Dealing in securities	2017-07-18	2018-08-16
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2017-02-10	2017-06-13
	Rep	Dealing in securities	2017-02-10	2017-06-13

HKMA registrations

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

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