SMBC NIKKO SECURITIES (HONG KONG) LIMITED Hong Kong SFC License Details

Regulatory Licenses

C = licensed corporation regulated by the SFC; R = registered institution regulated by the HKMA. If there is no starting date, the entity has conducted that activity since at least 1 Apr 2003, when the current register began.

Show Current

C/R	Regulated Activity	From	Until
C	Advising on corporate finance	-	2003-06-24
C	Advising on corporate finance	2012-07-20	-
C	Advising on corporate finance	2026-03-19	-
C	Advising on futures contracts	2017-11-07	-
C	Advising on futures contracts	2026-03-19	-
C	Advising on securities	-	-
C	Advising on securities	2026-03-19	-
C	Asset management	-	2010-10-27
C	Dealing in futures contracts	2017-11-07	-
C	Dealing in futures contracts	2026-03-19	-
C	Dealing in securities	-	-
C	Dealing in securities	2026-03-19	-

SMBC NIKKO SECURITIES (HONG KONG) LIMITED 日興證券(香港)有限公司