Personnel SFC Licences and HKMA Registrations (ID 27029762)

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
CNCB (Hong Kong) Capital Limited	RO	Advising on securities	2024-05-13	-
	Rep	Advising on securities	2023-10-20	2024-05-13
CLSA LIMITED	Rep	Advising on securities	2021-07-26	2023-08-14

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.