Personnel SFC Licences and HKMA Registrations (ID 80344)

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
ABCI CAPITAL LIMITED	RO	Advising on corporate finance	2022-07-22	-
	RO	Dealing in securities	2022-07-22	-
	Rep	Advising on corporate finance	2019-05-06	2022-07-22
	Rep	Dealing in securities	2019-05-06	2022-07-22
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2014-02-12	2017-12-01
GF Capital (Hong Kong) Limited	Rep	Advising on corporate finance	2011-05-26	2017-12-01
FIRST SHANGHAI CAPITAL LIMITED	Rep	Advising on corporate finance	2010-08-11	2011-05-15
Shang International Finance Limited	Rep	Advising on securities	2009-11-23	2010-06-30
	Rep	Dealing in securities	2009-11-23	2010-06-30
	Rep	Advising on corporate finance	2009-10-28	2010-06-30
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2008-02-21	2009-10-09

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.