Personnel SFC Licences and HKMA Registrations (ID 27206226)

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
CMB International Securities Limited	Rep	Advising on securities	2022-08-15	-
	Rep	Dealing in securities	2022-08-15	-
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2021-09-08	2022-05-20
	Rep	Asset management	2021-09-08	2022-05-20
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2021-09-08	2022-05-20

HKMA registrations

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

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