Personnel SFC Licences and HKMA Registrations (ID 45213)

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
Trinity Corporate Finance Limited (VG)	Rep	Advising on corporate finance	2016-04-26	-
FORTUNE FINANCIAL CAPITAL LIMITED	RO	Advising on corporate finance	2009-07-30	2010-04-30
	Rep	Advising on corporate finance	2009-06-04	2009-07-30
Innoform-Ashfield Capital Limited	RO	Advising on corporate finance	2008-04-07	2008-12-12
	Rep	Advising on corporate finance	2007-11-19	2008-04-07
UPBEST SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2004-11-01	2007-11-01
JAPAN ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2003-11-06	2004-01-28
China Reserve Securities Limited	Rep	Dealing in securities	2003-05-23	2003-11-06
HUA NAN SECURITIES (HK) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-21
	Rep	Advising on securities	2003-04-01	2003-05-21
	Rep	Asset management	2003-04-01	2003-05-21
	Rep	Dealing in securities	2003-04-01	2003-05-21

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.