Personnel SFC Licences and HKMA Registrations (ID 69829)

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
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-07-05	-
	Rep	Advising on securities	2019-07-05	-
CITIC Securities International Global Markets Limited	Rep	Dealing in securities	2019-07-05	-
CLSA LIMITED	Rep	Advising on securities	2019-07-05	-
	Rep	Dealing in securities	2019-07-05	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2017-09-13	2019-05-07
	Rep	Dealing in securities	2017-09-13	2019-05-07
	Rep	Advising on corporate finance	2010-11-30	2012-03-01
	Rep	Dealing in securities	2010-11-30	2012-03-01

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.