Personnel SFC Licences and HKMA Registrations (ID 73104)

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
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2026-10-28	-
	Rep	Dealing in securities	2026-10-28	-
AUSTRAX CAPITAL LIMITED	RO	Advising on corporate finance	2016-11-02	2026-07-24
	RO	Dealing in securities	2016-11-02	2026-07-24
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Dealing in securities	2005-11-03	2016-10-14
	RO	Advising on securities	2004-03-26	2016-10-14
	RO	Advising on corporate finance	2003-04-03	2016-10-14

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.