Personnel SFC Licences and HKMA Registrations (ID 71140)

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
TARGET CAPITAL MANAGEMENT LIMITED (HK)	RO	Asset management	2019-07-18	-
	RO	Advising on securities	2018-02-07	-
	RO	Dealing in securities	2018-02-07	-
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2014-08-27	2015-09-18
	Rep	Advising on securities	2014-08-27	2015-09-18
	Rep	Dealing in securities	2014-03-10	2015-09-18
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2011-08-01	2014-01-15

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.