Personnel SFC Licences and HKMA Registrations (ID 81953)

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
Patrons Capital Limited	RO	Advising on corporate finance	2026-07-20	-
	RO	Dealing in securities	2026-07-20	-
	Rep	Advising on corporate finance	2026-04-17	2026-07-20
	Rep	Dealing in securities	2026-04-17	2026-07-20
Fosun International Securities Limited	RO	Dealing in securities	2024-04-15	2026-01-31
Fosun International Capital Limited	RO	Advising on securities	2023-03-10	2026-01-31
	RO	Advising on corporate finance	2022-04-20	2026-01-31
	RO	Dealing in securities	2022-04-20	2026-01-31
Fosun International Securities Limited	RO	Advising on corporate finance	2018-04-24	2023-12-11
	Rep	Advising on corporate finance	2018-04-04	2018-04-24
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on corporate finance	2013-11-21	2018-01-31
	Rep	Advising on corporate finance	2013-07-23	2013-11-21
HAITONG INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2013-01-17	2013-06-15
	Rep	Advising on corporate finance	2010-05-31	2013-01-17
CINDA INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2010-01-05	2010-04-30
	Rep	Dealing in securities	2010-01-05	2010-04-30
Shang International Finance Limited	Rep	Advising on corporate finance	2006-06-09	2009-12-24
	Rep	Advising on securities	2006-06-09	2009-12-24
	Rep	Dealing in securities	2006-06-09	2009-12-24

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.