Personnel SFC Licences and HKMA Registrations (ID 75433)

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
CAITONG INTERNATIONAL CAPITAL CO., LIMITED	RO	Advising on corporate finance	2026-08-04	-
	RO	Dealing in securities	2026-08-04	-
CEB International Capital Corporation Limited	RO	Advising on corporate finance	2019-10-03	2023-05-14
	RO	Advising on securities	2019-10-03	2023-05-14
	RO	Dealing in securities	2019-10-03	2023-05-14
	Rep	Advising on corporate finance	2019-07-05	2019-10-03
	Rep	Advising on securities	2019-07-05	2019-10-03
	Rep	Dealing in securities	2019-07-05	2019-10-03
CLSA LIMITED	Rep	Advising on securities	2015-01-07	2019-05-01
	Rep	Dealing in securities	2015-01-07	2019-05-01
CITIC Securities (Hong Kong) Limited	RO	Advising on corporate finance	2012-10-16	2019-05-01
	RO	Advising on securities	2012-10-16	2019-05-01
	Rep	Advising on corporate finance	2007-06-12	2012-10-16
	Rep	Advising on securities	2007-06-12	2012-10-16

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.