Personnel SFC Licences and HKMA Registrations (ID 2707093)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2025-09-08	-
	Rep	Dealing in securities	2025-09-08	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2025-09-08	-
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2019-06-20	2025-08-15
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	Rep	Advising on futures contracts	2018-05-23	2019-04-25
	Rep	Dealing in futures contracts	2018-05-23	2019-04-25
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Advising on securities	2017-03-07	2019-04-25
	Rep	Dealing in securities	2017-03-07	2019-04-25

HKMA registrations

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

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