Personnel SFC Licences and HKMA Registrations (ID 27757984)

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
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2022-10-21	-
	Rep	Advising on securities	2022-10-21	-
	Rep	Dealing in securities	2022-10-21	-
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2022-02-08	2022-10-01
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2022-02-08	2022-10-01
	Rep	Dealing in securities	2022-02-08	2022-10-01

HKMA registrations

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

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