Personnel SFC Licences and HKMA Registrations (ID 91285)

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
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2020-03-18	-
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-11-20	2020-03-06
LEHIN SECURITIES LIMITED	Rep	Dealing in securities	2007-05-03	2007-05-11
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Dealing in securities	2007-03-28	2007-04-23
STAR SECURITIES LIMITED (d2009-10-02)	Rep	Dealing in securities	2006-10-09	2007-03-19
KWAI HUNG SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-10-28
	Rep	Advising on securities	2003-04-01	2003-10-28
	Rep	Asset management	2003-04-01	2003-10-28
	Rep	Dealing in securities	2003-04-01	2006-09-26

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.