Personnel SFC Licences and HKMA Registrations (ID 79629)

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
AUSTRAX CAPITAL LIMITED	RO	Advising on corporate finance	2018-07-19	-
	Rep	Dealing in securities	2018-03-07	-
	Rep	Advising on corporate finance	2018-03-07	2018-07-19
SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on corporate finance	2017-10-24	2018-01-31
	Rep	Advising on corporate finance	2017-07-07	2017-10-24
	Rep	Advising on securities	2017-07-07	2018-01-31
	Rep	Dealing in securities	2017-07-07	2018-01-31
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Advising on corporate finance	2017-02-03	2017-03-27
	Rep	Advising on corporate finance	2012-07-09	2017-02-03
	Rep	Advising on securities	2012-07-09	2017-03-27
	Rep	Dealing in securities	2012-07-09	2017-03-27
FIRST SHANGHAI CAPITAL LIMITED	Rep	Advising on corporate finance	2007-09-25	2012-02-29

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.