Personnel SFC Licences and HKMA Registrations (ID 28162397)

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 INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2026-10-28	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2026-10-28	-
	Rep	Dealing in securities	2026-10-28	-
GCM Investments Hong Kong Limited	Rep	Advising on securities	2024-09-16	2025-09-01
	Rep	Dealing in securities	2024-09-16	2025-09-01
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2022-04-19	2023-11-15

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.