Personnel SFC Licences and HKMA Registrations (ID 72340)

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
Blackhorn Wealth Management Limited	Rep	Advising on securities	2024-06-13	-
	Rep	Asset management	2024-06-13	-
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2014-08-25	2020-12-04
	Rep	Advising on securities	2014-07-04	2014-08-25
	RO	Advising on securities	2012-07-26	2014-02-04
	Rep	Advising on securities	2009-07-22	2012-07-26
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-03-16	2009-05-18

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.