Personnel SFC Licences and HKMA Registrations (ID 75620)

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	Dealing in securities	2011-01-03	-
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2009-10-12	2010-12-06
	Rep	Dealing in securities	2009-10-12	2010-12-06
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-10-10	2008-12-22
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Advising on corporate finance	2003-04-01	2005-02-15
	Rep	Advising on securities	2003-04-01	2005-02-15
	Rep	Asset management	2003-04-01	2005-02-15
	Rep	Dealing in securities	2003-04-01	2008-12-22

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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