Personnel SFC Licences and HKMA Registrations (ID 98358)

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
BOCI SECURITIES LIMITED	RO	Advising on securities	2023-06-30	-
	RO	Dealing in securities	2023-06-30	-
	Rep	Advising on securities	2017-03-02	2023-06-30
	Rep	Dealing in securities	2017-03-02	2023-06-30
CMB International Securities Limited	Rep	Dealing in securities	2013-10-24	2017-03-01
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2010-07-26	2013-06-08
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2007-09-24	2010-06-26

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.