Personnel SFC Licences and HKMA Registrations (ID 71568)

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
SANFULL SECURITIES LIMITED	Rep	Dealing in securities	2021-11-26	-
BOCOM International Securities Limited	Rep	Dealing in securities	2007-09-12	2021-11-04
BOCOM International Holdings Company Limited	Rep	Dealing in securities	2004-07-02	2008-03-03
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-07-02
	Rep	Advising on securities	2003-04-01	2004-07-02
	Rep	Asset management	2003-04-01	2004-07-02
	Rep	Dealing in securities	2003-04-01	2004-07-02

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.