Personnel SFC Licences and HKMA Registrations (ID 27268663)

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
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2025-05-07	-
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2025-01-17	2025-03-28
	Rep	Advising on securities	2025-01-17	2025-03-28
	Rep	Dealing in securities	2025-01-17	2025-03-28
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2025-01-17	2025-03-28
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2021-09-23	2024-01-26
	Rep	Dealing in securities	2021-09-23	2024-01-26
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2021-09-23	2024-01-26

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.