Personnel SFC Licences and HKMA Registrations (ID 77381)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	2026-03-19	-
	RO	Advising on securities	2026-03-19	-
	RO	Dealing in securities	2026-03-19	-
	RO	Advising on corporate finance	2025-12-29	2026-03-18
	RO	Advising on securities	2025-12-29	2026-03-18
	RO	Dealing in securities	2025-12-29	2026-03-18
	Rep	Advising on corporate finance	2025-10-09	2025-12-29
	Rep	Advising on securities	2025-10-09	2025-12-29
	Rep	Dealing in securities	2025-10-09	2025-12-29
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2019-03-20	2025-04-30
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2009-06-18	2012-07-10
	Rep	Advising on securities	2009-06-18	2015-10-09
	Rep	Dealing in securities	2007-09-28	2015-10-09
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2006-08-25	2007-09-03
	Rep	Dealing in securities	2006-08-25	2007-09-03

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.