Personnel SFC Licences and HKMA Registrations (ID 82215)

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
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2021-04-16	-
CMB International Securities Limited	Rep	Dealing in securities	2021-04-16	-
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2009-12-17	2021-03-10
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2009-04-09	2021-03-10
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2009-03-26	2009-03-31

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.