Personnel SFC Licences and HKMA Registrations (ID 73734)

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	RO	Advising on securities	2022-04-21	-
	RO	Dealing in securities	2022-04-21	-
	Rep	Advising on securities	2021-05-14	2022-04-21
	Rep	Dealing in securities	2019-09-20	2022-04-21
GF Asset Management (Hong Kong) Limited	RO	Advising on securities	2017-11-10	2022-01-27
	RO	Asset management	2017-11-10	2022-01-27
	Rep	Advising on securities	2017-06-05	2017-11-10
	Rep	Asset management	2017-06-05	2017-11-10
CMS ASSET MANAGEMENT (HK) CO., LIMITED	RO	Asset management	2017-01-03	2017-04-18
	RO	Advising on securities	2012-02-01	2017-04-18
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Asset management	2011-06-14	2015-10-13
CMS ASSET MANAGEMENT (HK) CO., LIMITED	Rep	Asset management	2010-12-20	2017-01-03
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2007-08-09	2012-02-01

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.