Personnel SFC Licences and HKMA Registrations (ID 74251)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	RO	Advising on corporate finance	2026-01-23	-
	RO	Dealing in securities	2026-01-23	-
	Rep	Advising on corporate finance	2025-09-29	2026-01-23
	Rep	Dealing in securities	2025-09-29	2026-01-23
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on corporate finance	2021-05-12	2025-09-14
	RO	Advising on securities	2021-05-12	2025-09-14
	RO	Dealing in securities	2021-05-12	2025-09-14
	Rep	Advising on corporate finance	2020-06-30	2021-05-12
	Rep	Advising on securities	2020-06-30	2021-05-12
	Rep	Dealing in securities	2020-06-30	2021-05-12
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2017-12-15	2020-06-21
	Rep	Dealing in securities	2017-12-15	2020-06-21
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on corporate finance	2017-07-26	2020-06-21
	Rep	Advising on securities	2017-07-26	2020-06-21
	Rep	Dealing in securities	2017-07-26	2020-06-21
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-02-09	2017-07-07
CLSA LIMITED	Rep	Dealing in securities	2014-02-10	2015-01-20
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2010-06-18	2014-02-09

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.