Personnel SFC Licences and HKMA Registrations (ID 73310)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2025-06-04	-
	RO	Advising on securities	2023-01-09	2025-06-04
	Rep	Dealing in securities	2022-08-30	-
	Rep	Advising on securities	2022-08-30	2023-01-09
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Advising on securities	2013-09-06	2020-06-01
	RO	Dealing in securities	2009-10-12	2020-06-01
	Rep	Dealing in securities	2008-11-24	2009-10-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2003-08-20	2008-11-07
	Rep	Dealing in securities	2003-08-20	2008-11-07

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.