Personnel SFC Licences and HKMA Registrations (ID 94853)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on futures contracts	2026-03-19	-
	RO	Advising on securities	2026-03-19	-
	RO	Dealing in futures contracts	2026-03-19	-
	RO	Dealing in securities	2026-03-19	-
	RO	Advising on futures contracts	2020-01-13	2026-03-18
	RO	Dealing in futures contracts	2020-01-13	2026-03-18
	RO	Advising on securities	2018-10-11	2026-03-18
	RO	Dealing in securities	2018-10-11	2026-03-18
	Rep	Advising on futures contracts	2018-01-16	2020-01-13
	Rep	Dealing in futures contracts	2018-01-16	2020-01-13
	Rep	Advising on securities	2013-05-06	2018-10-11
	Rep	Dealing in securities	2011-04-26	2018-10-11
MIZUHO SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-02-09	2011-03-01

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.