Personnel SFC Licences and HKMA Registrations (ID 63991)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on corporate finance	2026-10-12	-
	Rep	Dealing in securities	2026-10-12	-
AUSTRAX CAPITAL LIMITED	RO	Advising on corporate finance	2017-03-21	2026-08-14
	Rep	Advising on corporate finance	2017-01-09	2017-03-21
	Rep	Dealing in securities	2017-01-09	2026-08-14
Ping An of China Capital (Hong Kong) Company Limited	RO	Advising on corporate finance	2016-06-24	2016-10-24
	Rep	Advising on corporate finance	2015-02-17	2016-06-24
CINDA INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2013-11-19	2015-02-02
KINGSWAY CAPITAL LIMITED	Rep	Advising on corporate finance	2010-03-03	2013-11-06
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2010-03-03	2011-06-30
JW CAPITAL SECURITIES LIMITED	Rep	Advising on securities	2008-05-02	2010-01-31
	Rep	Asset management	2008-05-02	2010-01-31
	Rep	Advising on corporate finance	2006-10-19	2010-01-31

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.