Personnel SFC Licences and HKMA Registrations (ID 75693)

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	RO	Advising on securities	2019-08-21	-
	Rep	Advising on securities	2012-12-31	2019-08-21
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-06-07	2012-12-31

HKMA registrations

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

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