Personnel SFC Licences and HKMA Registrations (ID 73089)

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
FIRST SHANGHAI FUTURES LIMITED	Rep	Dealing in futures contracts	2016-06-08	2026-06-30
FIRST SHANGHAI SECURITIES LIMITED	Rep	Advising on securities	2014-03-04	-
	Rep	Dealing in securities	2014-03-04	-
China Alpha Fund Management (HK) Limited	Rep	Advising on securities	2013-11-22	2014-02-28
	Rep	Asset management	2013-11-22	2014-02-28
CHINA SHENGHAI INVESTMENT MANAGEMENT LIMITED	Rep	Asset management	2010-01-06	2013-10-23
	Rep	Dealing in securities	2010-01-06	2013-10-23
	Rep	Advising on securities	2009-12-29	2013-10-23
FIRST SHANGHAI SECURITIES LIMITED	Rep	Asset management	2003-04-01	2004-08-27
	Rep	Advising on corporate finance	2003-04-01	2009-11-13
	Rep	Advising on securities	2003-04-01	2009-11-13

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.