Personnel Hong Kong SFC License Details (ID 102137)

Personnel Hong Kong SFC License Details (ID 102137)

Key Data SFC Licenses Public Disciplinary Actions

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2016-11-14	2019-04-04
	Rep	Advising on securities	2016-11-14	2019-04-04
	Rep	Dealing in securities	2016-11-14	2019-04-04
RBS Asia Corporate Finance Limited	RO	Advising on corporate finance	2004-07-15	2009-12-07
	RO	Dealing in securities	2004-07-15	2009-12-07
	Rep	Advising on corporate finance	2004-01-30	2004-07-15
	Rep	Dealing in securities	2004-01-30	2004-07-15
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2003-11-26
	Rep	Advising on securities	-	2003-11-26
	Rep	Providing automated trading services	-	2003-11-26
	Rep	Dealing in securities	-	2003-11-26