Personnel SFC Licences and HKMA Registrations (ID 70434)

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 Securities (International) Corporate Finance Company Limited	RO	Advising on corporate finance	2024-04-23	-
	RO	Dealing in securities	2024-04-23	-
	Rep	Advising on corporate finance	2017-08-11	2024-04-23
	Rep	Dealing in securities	2017-08-11	2024-04-23
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2013-03-28	2015-07-15
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2011-08-22	2015-07-15

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.