Personnel SFC Licences and HKMA Registrations (ID 8241840)

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
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2021-07-09	-
	Rep	Dealing in securities	2021-07-09	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2019-06-05	2021-05-31
	Rep	Advising on securities	2019-06-05	2021-05-31
	Rep	Dealing in securities	2019-06-05	2021-05-31
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on securities	2018-08-13	2019-05-03
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-06-22	2019-05-03
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2017-04-19	2019-05-03
	Rep	Dealing in securities	2017-04-19	2019-05-03

HKMA registrations

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

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