Personnel SFC Licences and HKMA Registrations (ID 94769)

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
RaffAello Capital Limited	RO	Advising on corporate finance	2012-07-05	-
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on corporate finance	2011-09-08	2012-06-27
	Rep	Advising on corporate finance	2011-06-01	2011-09-08
	RO	Advising on corporate finance	2010-08-27	2011-02-12
	Rep	Advising on corporate finance	2010-08-03	2010-08-27
FUBON CAPITAL (HK) LIMITED	RO	Advising on corporate finance	2005-11-14	2007-01-19
	Rep	Advising on corporate finance	2005-07-27	2005-11-14
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on securities	2003-04-01	2003-08-01
	RO	Asset management	2003-04-01	2003-08-01
	RO	Advising on corporate finance	2003-04-01	2005-07-26

HKMA registrations

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

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