Personnel SFC Licences and HKMA Registrations (ID 69121)

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
CMBC International Capital Limited	RO	Advising on corporate finance	2026-11-02	-
	Rep	Dealing in securities	2026-09-21	-
	Rep	Advising on corporate finance	2026-09-21	2026-11-02
China Sunrise Capital Limited	RO	Advising on corporate finance	2025-10-23	2026-08-31
AUSTRAX CAPITAL LIMITED	RO	Advising on corporate finance	2016-08-10	2025-10-06
	Rep	Advising on corporate finance	2015-08-10	2016-08-10
	Rep	Dealing in securities	2015-08-10	2025-10-06
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2015-02-12	2015-07-31
	Rep	Dealing in securities	2015-02-12	2015-07-31
Neutral Financial Holding Company Limited	Rep	Advising on corporate finance	2010-12-20	2015-01-23
	Rep	Dealing in securities	2010-12-20	2015-01-23

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.