Personnel SFC Licences and HKMA Registrations (ID 32937871)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2026-09-23	-
CMB International Global Markets Limited	Rep	Advising on securities	2025-07-30	2026-09-11
CMB International Capital Limited	Rep	Advising on corporate finance	2025-02-04	2025-04-01
	Rep	Dealing in securities	2025-02-04	2025-04-01

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.