Personnel SFC Licences and HKMA Registrations (ID 82434)

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
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2019-06-26	-
	Rep	Dealing in securities	2019-06-26	-
	Rep	Advising on securities	2011-03-07	2017-11-30
	Rep	Dealing in securities	2011-03-07	2017-11-30
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2009-08-06	2011-02-10
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-08-06	2011-02-10

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.