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SMBC Capital Markets (Asia) Limited

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SFC ID:AVA667
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SFC licences & institution history

2026.03.19Institutions amalgamated

After amalgamation

Currently licensed
SFC ID:BWU838

SMBC Nikko Securities (Hong Kong) Limited

6 former names

  1. Swing Noble Limited

    Earlier period—1994.11.28

    SFC name change: 1994.11.28

    No SFO licence period listed under this name

  2. PYK Securities (Hong Kong) Limited

    1994.11.28—1999.01.28

    SFC name change: 1999.01.28

    No SFO licence period listed under this name

  3. Primasia Securities (HK) Limited

    1999.01.28—1999.02.09

    SFC name change: 1999.02.09

    No SFO licence period listed under this name

  4. Primasia Securities (Asia) Limited

    1999.02.09—1999.05.25

    SFC name change: 1999.05.25

    No SFO licence period listed under this name

  5. Primasia Securities (Asia) Limited

    1999.05.25—2010.11.30

    SFC name change: 2010.11.30

    No SFO licence period listed under this name

  6. SMBC Nikko Securities (Hong Kong) Limited

    2010.11.30—2021.11.18

    SFC name change: 2021.11.18

    No SFO licence period listed under this name

  7. SMBC Nikko Securities (Hong Kong) Limited

    2021.11.18—Registered name

    Licences in this name periodTYPE 1TYPE 2TYPE 4TYPE 5TYPE 6
Licences of SMBC Nikko Securities (Hong Kong) Limited (BWU838)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2026.03.19—Present
TYPE 2Dealing in futures contracts
  • 2026.03.19—Present
TYPE 4Advising on securities
  • 2026.03.19—Present
TYPE 5Advising on futures contracts
  • 2026.03.19—Present
TYPE 6Advising on corporate finance
  • 2026.03.19—Present

Before amalgamation

Historical institution
SFC ID:AVA667

SMBC Capital Markets (Asia) Limited

Licences of SMBC Capital Markets (Asia) Limited (AVA667)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2010.07.14—2026.03.18
TYPE 2Dealing in futures contracts
  • 2010.07.14—2026.03.18
Historical institution
SFC ID:ACO507

SMBC Nikko Securities (Hong Kong) Limited

5 former names

  1. Swing Noble Limited

    Earlier period—1994.11.29

    SFC name change: 1994.11.29

    No SFO licence period listed under this name

  2. PYK Securities (Hong Kong) Limited

    1994.11.29—1999.01.29

    SFC name change: 1999.01.29

    No SFO licence period listed under this name

  3. Primasia Securities (HK) Limited

    1999.01.29—1999.02.10

    SFC name change: 1999.02.10

    No SFO licence period listed under this name

  4. Primasia Securities (Asia) Limited

    1999.02.10—2010.12.01

    SFC name change: 2010.12.01

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 9

  5. SMBC Nikko Securities (Hong Kong) Limited

    2010.12.01—2021.11.19

    SFC name change: 2021.11.19

    Licences in this name periodTYPE 1TYPE 2TYPE 4TYPE 5TYPE 6

  6. SMBC Nikko Securities (Hong Kong) Limited

    2021.11.19—Registered name

    Licences in this name periodTYPE 1TYPE 2TYPE 4TYPE 5TYPE 6
Licences of SMBC Nikko Securities (Hong Kong) Limited (ACO507)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2026.03.18
TYPE 2Dealing in futures contracts
  • 2017.11.07—2026.03.18
TYPE 4Advising on securities
  • 2003.04.01—2026.03.18
TYPE 5Advising on futures contracts
  • 2017.11.07—2026.03.18
TYPE 6Advising on corporate finance
  • 2003.04.01—2003.06.24
  • 2012.07.20—2026.03.18
TYPE 9Asset management
  • 2003.04.01—2010.10.27