Personnel SFC Licences and HKMA Registrations (ID 94275)

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
CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2022-09-06	-
	RO	Dealing in securities	2022-09-06	-
	Rep	Advising on corporate finance	2022-08-29	2022-09-06
	Rep	Dealing in securities	2022-08-29	2022-09-06
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	RO	Advising on corporate finance	2009-09-23	2022-04-30
	RO	Advising on securities	2009-09-23	2022-04-30
	RO	Dealing in securities	2009-09-23	2022-04-30
	Rep	Advising on securities	2009-07-06	2009-09-23
	Rep	Advising on corporate finance	2009-06-05	2009-09-23
	Rep	Dealing in securities	2009-06-05	2009-09-23
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2007-05-28	2009-02-10
	Rep	Dealing in securities	2007-05-28	2009-02-10
Shang International Finance Limited	Rep	Advising on corporate finance	2004-10-04	2007-05-12
	Rep	Advising on securities	2004-10-04	2007-05-12
	Rep	Dealing in securities	2004-10-04	2007-05-12
MASTERLINK SECURITIES (HONG KONG) CORPORATION LIMITED	Rep	Asset management	2003-04-01	2004-01-08
	Rep	Advising on corporate finance	2003-04-01	2004-09-13
	Rep	Advising on securities	2003-04-01	2004-09-13

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.