Personnel SFC Licences and HKMA Registrations (ID 27758969)

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
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	RO	Advising on securities	2024-06-11	-
	RO	Dealing in securities	2024-06-11	-
	Rep	Advising on securities	2024-03-13	2024-06-11
	Rep	Dealing in securities	2024-03-13	2024-06-11
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	RO	Asset management	2023-01-20	2023-11-13
	Rep	Asset management	2022-07-27	2023-01-20
	RO	Advising on securities	2022-07-27	2023-11-13
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2022-02-10	2023-11-13

HKMA registrations

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

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