Personnel Hong Kong SFC License Details (ID 103796)

Personnel Hong Kong SFC License Details (ID 103796)

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	2018-01-29	2023-06-16
	Rep	Advising on securities	2018-01-29	2023-06-16
	Rep	Dealing in securities	2018-01-29	2023-06-16
ICBC INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2012-03-13	2016-04-15
	RO	Dealing in securities	2012-03-13	2016-04-15
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-03-13	2016-04-15
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2011-09-20	2012-03-13
	Rep	Dealing in securities	2011-09-20	2012-03-13
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2005-05-19	2005-09-29
	Rep	Advising on securities	2005-05-19	2005-09-29
	Rep	Dealing in securities	2005-05-19	2005-09-29
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	-	2005-01-25
	Rep	Providing automated trading services	-	2005-03-23
	Rep	Advising on corporate finance	-	2005-09-29
	Rep	Advising on securities	-	2005-09-29
	Rep	Dealing in securities	-	2005-09-29