Personnel SFC Licences and HKMA Registrations (ID 75466)

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
CLSA LIMITED	Rep	Advising on securities	2009-02-16	-
CLSA RESEARCH LIMITED	Rep	Advising on securities	2008-06-19	2012-12-17
	Rep	Advising on securities	2007-07-18	2008-05-20

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.