Personnel SFC Licences and HKMA Registrations (ID 31021961)

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
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2026-08-21	-
	RO	Advising on securities	2026-08-21	-
CLSA LIMITED	RO	Dealing in securities	2026-08-21	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2023-12-15	2026-08-21
	Rep	Advising on securities	2023-12-15	2026-08-21
CLSA LIMITED	Rep	Dealing in securities	2023-12-15	2026-08-21

HKMA registrations

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

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