Personnel SFC Licences and HKMA Registrations (ID 78113)

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
Daiwa Capital Markets Hong Kong Limited	RO	Advising on corporate finance	2025-04-01	-
	RO	Advising on securities	2025-04-01	-
	RO	Dealing in futures contracts	2025-04-01	-
	RO	Dealing in securities	2025-04-01	-
	Rep	Advising on securities	2023-11-27	2025-04-01
	Rep	Dealing in futures contracts	2023-11-27	2025-04-01
	Rep	Dealing in securities	2023-07-19	2025-04-01
	Rep	Advising on securities	2009-09-22	2017-05-11
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2009-08-03	2012-01-30

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.