Personnel SFC Licences and HKMA Registrations (ID 72275)

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
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2024-11-05	-
	Rep	Advising on securities	2024-11-05	-
	Rep	Dealing in securities	2024-11-05	-
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-09-27	2024-05-06
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2017-09-27	2024-05-06
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on corporate finance	2016-04-06	2017-06-30
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2012-09-21	2016-03-30
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2010-10-19	2012-04-03
	Rep	Dealing in securities	2010-10-19	2012-04-03
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2008-09-23	2009-05-19
	Rep	Advising on securities	2008-09-23	2009-05-19
	Rep	Dealing in securities	2008-09-23	2009-05-19
	Rep	Advising on corporate finance	2007-11-01	2008-07-14
	Rep	Advising on securities	2007-11-01	2008-07-14
	Rep	Dealing in securities	2007-11-01	2008-07-14

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.