Personnel Hong Kong SFC License Details (ID 103574)

Personnel Hong Kong SFC License Details (ID 103574)

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	Dealing in futures contracts	2008-10-10	2010-03-09
	Rep	Dealing in securities	2008-10-10	2010-03-09
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-04-18	2008-09-29
	Rep	Dealing in securities	2008-04-18	2008-09-29
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2007-06-07	2008-02-13
	Rep	Dealing in securities	2006-09-11	2008-02-13
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Advising on securities	-	2004-04-17
	Rep	Dealing in securities	-	2006-08-11