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Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司

SFC Licensed
SFC ID:AAB639
CCASS ID:B01777
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SFC licences & institution history

Currently licensed
SFC ID:AAB639

Daiwa Capital Markets Hong Kong Limited

4 former names

  1. Daiwa Securities (H.K.) Limited

    Earlier period—1999.09.28

    SFC name change: 1999.09.28

    No SFO licence period listed under this name

  2. Daiwa Securities SB Capital Markets Hong Kong Limited

    1999.09.28—1999.11.02

    SFC name change: 1999.11.02

    No SFO licence period listed under this name

  3. Daiwa Securities SB Capital Markets Hong Kong Limited (trading as Daiwa SBCM Hong Kong)

    1999.11.02—2001.04.01

    SFC name change: 2001.04.01

    No SFO licence period listed under this name

  4. Daiwa Securities SMBC Hong Kong Limited (trading as Daiwa Securities SMBC Hong Kong)

    2001.04.01—2010.01.04

    SFC name change: 2010.01.04

    Licences in this name periodTYPE 1TYPE 2TYPE 4TYPE 6TYPE 9

  5. Daiwa Capital Markets Hong Kong Limited

    2010.01.04—Registered name

    Licences in this name periodTYPE 1TYPE 2TYPE 4TYPE 6
Licences of Daiwa Capital Markets Hong Kong Limited (AAB639)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—Present
TYPE 2Dealing in futures contracts
  • 2007.10.05—Present
TYPE 4Advising on securities
  • 2003.04.01—Present
TYPE 6Advising on corporate finance
  • 2003.04.01—Present
TYPE 9Asset management
  • 2003.04.01—2005.01.25