Personnel SFC Licences and HKMA Registrations (ID 78622)

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
EAST ASIA FUTURES LIMITED	RO	Dealing in futures contracts	2017-08-16	-
EAST ASIA SECURITIES COMPANY LIMITED	RO	Dealing in securities	2017-08-16	-
EAST ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2009-10-15	2017-08-16
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2009-10-15	2017-08-16
GLOBAL CHINA CORPORATE FINANCE LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-30

HKMA registrations

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

HKMA registration number: AE4336

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
東亞銀行有限公司	Dealing in securities	Non-EO	PERSONAL ASSISTANT TO DEPUTY CHIEF EXECUTIVE	2012-07-28	—	Current
東亞銀行有限公司	Dealing in securities	Non-EO	—	2009-10-15	2012-07-23	Former