Personnel SFC Licences and HKMA Registrations (ID 58036)

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
FIRST SECURITIES (HK) LIMITED	RO	Advising on securities	2026-08-04	-
CAPITAL GLOBAL MANAGEMENT LIMITED	RO	Advising on securities	2023-07-11	-
	RO	Dealing in securities	2023-07-11	-
	Rep	Asset management	2023-06-21	-
	Rep	Advising on securities	2023-06-21	2023-07-11
	Rep	Dealing in securities	2023-06-21	2023-07-11
SBI E2-Capital Securities Limited	RO	Dealing in securities	2021-09-16	2023-05-30
	Rep	Dealing in securities	2021-03-15	2021-09-16
	RO	Asset management	2021-03-15	2023-01-09
	RO	Advising on securities	2021-03-15	2023-05-30
SBI China Capital Financial Services Limited	Rep	Dealing in securities	2010-01-05	2021-02-28
SBI China Capital Securities Limited	Rep	Dealing in securities	2010-01-05	2011-09-30
SBI China Capital Financial Services Limited	RO	Advising on securities	2008-12-16	2021-02-28
	Rep	Advising on securities	2008-10-21	2008-12-16
SBI China Capital Securities Limited	RO	Advising on securities	2008-10-21	2011-09-30
	Rep	Advising on securities	2008-04-25	2008-10-21
	RO	Advising on securities	2007-09-25	2008-04-25
	Rep	Advising on securities	2006-06-15	2007-09-25
HAITONG INTERNATIONAL RESEARCH LIMITED	Rep	Advising on securities	2005-01-08	2006-06-05

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.