Personnel SFC Licences and HKMA Registrations (ID 33853240)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2026-03-19	-
	Rep	Advising on securities	2026-03-19	-
	Rep	Dealing in securities	2026-03-19	-
	Rep	Advising on corporate finance	2025-08-11	2026-03-18
	Rep	Advising on securities	2025-08-11	2026-03-18
	Rep	Dealing in securities	2025-08-11	2026-03-18

HKMA registrations

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

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