Personnel SFC Licences and HKMA Registrations (ID 90607)

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
CHINA EVERBRIGHT RESEARCH LIMITED	RO	Advising on securities	2017-10-09	-
Everbright Securities Investment Services (HK) Limited	RO	Advising on securities	2016-05-18	-
	Rep	Advising on securities	2015-09-24	2016-05-18
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on futures contracts	2010-09-30	2015-01-21
	Rep	Advising on securities	2010-09-30	2015-01-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2008-05-13	2008-09-29

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.