Personnel SFC Licences and HKMA Registrations (ID 74370)

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
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2017-11-24	-
	Rep	Dealing in securities	2005-04-21	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2005-04-21	-
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-25
	Rep	Advising on securities	2003-04-01	2004-06-25
	Rep	Asset management	2003-04-01	2004-06-25
	Rep	Providing automated trading services	2003-04-01	2004-06-25
	Rep	Dealing in securities	2003-04-01	2005-04-19
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-06-25
	Rep	Asset management	2003-04-01	2004-06-25
	Rep	Dealing in futures contracts	2003-04-01	2005-04-19
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-25
	Rep	Advising on securities	2003-04-01	2004-06-25
	Rep	Asset management	2003-04-01	2004-06-25
	Rep	Providing automated trading services	2003-04-01	2004-06-25
	Rep	Dealing in securities	2003-04-01	2005-04-19

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.