Personnel SFC Licences and HKMA Registrations (ID 70752)

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
Jefferies Hong Kong Limited	RO	Advising on corporate finance	2018-07-27	-
	Rep	Advising on securities	2018-02-08	-
	Rep	Dealing in securities	2018-02-08	-
	Rep	Advising on corporate finance	2017-08-07	2018-07-27
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2015-01-21	2017-07-21
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2012-10-09	2014-12-24
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2011-08-15	2012-06-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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