Personnel SFC Licences and HKMA Registrations (ID 97029)

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	Rep	Advising on securities	2026-03-19	-
	Rep	Advising on securities	2025-01-08	2026-03-18
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2007-03-09	2016-03-11

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.