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DAIWA SECURITIES SMBC (ASIA) LIMITED 大和証券盛民博昌(亞洲)有限公司

SFC InactiveDissolved
SFC ID:AAW075
CCASS ID:B01344
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SFC licences & institution history

No current licences
SFC ID:AAW075

Daiwa Securities SMBC (Asia) Limited

3 former names

  1. Daiwa Securities (Asia) 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 (Asia) 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 (Asia) Limited (trading as Daiwa SBCM Securities Asia)

    1999.11.02—2001.04.01

    SFC name change: 2001.04.01

    No SFO licence period listed under this name

  4. Daiwa Securities SMBC (Asia) Limited

    2001.04.01—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 9
Licences of Daiwa Securities SMBC (Asia) Limited (AAW075)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2005.06.09
TYPE 4Advising on securities
  • 2003.04.01—2005.01.25
TYPE 6Advising on corporate finance
  • 2003.04.01—2005.01.25
TYPE 9Asset management
  • 2003.04.01—2005.01.25