Personnel SFC Licences and HKMA Registrations (ID 74398)

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
Guolian Securities International Capital Co., Limited	Rep	Advising on securities	2026-01-14	-
	Rep	Dealing in securities	2026-01-14	-
Guolian Securities International Capital Market Co., Limited	RO	Advising on corporate finance	2025-08-14	-
	Rep	Advising on corporate finance	2025-07-11	2025-08-14
CEB International Capital Corporation Limited	RO	Advising on corporate finance	2019-10-03	2024-02-01
	RO	Advising on securities	2019-10-03	2024-02-01
	RO	Dealing in securities	2019-10-03	2024-02-01
	Rep	Advising on corporate finance	2019-07-19	2019-10-03
	Rep	Advising on securities	2019-07-19	2019-10-03
	Rep	Dealing in securities	2019-07-19	2019-10-03
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2015-04-23	2019-07-03
	RO	Advising on securities	2015-04-23	2019-07-03
CLSA LIMITED	RO	Dealing in securities	2015-04-23	2019-07-03
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on securities	2007-08-17	2016-01-01
	RO	Advising on corporate finance	2006-04-19	2016-01-01
	RO	Dealing in securities	2006-04-19	2016-01-01
	Rep	Asset management	2003-04-01	2003-12-31
	Rep	Advising on securities	2003-04-01	2004-07-30
	Rep	Advising on corporate finance	2003-04-01	2006-04-19
	Rep	Dealing in securities	2003-04-01	2006-04-19

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.