Personnel SFC Licences and HKMA Registrations (ID 73711)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2025-04-24	-
	Rep	Dealing in securities	2013-04-09	2025-03-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2006-02-13	2013-04-03
CLSA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-16
	Rep	Advising on securities	2003-04-01	2004-03-16
	Rep	Asset management	2003-04-01	2004-03-16
	Rep	Dealing in securities	2003-04-01	2005-09-27

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.