Personnel SFC Licences and HKMA Registrations (ID 75739)

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
Jefferies Hong Kong Limited	Rep	Advising on securities	2022-11-18	-
CLSA LIMITED	Rep	Advising on securities	2012-12-31	2019-12-02
CLSA RESEARCH LIMITED	Rep	Advising on securities	2010-09-03	2012-12-31

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.