Personnel Hong Kong SFC License Details (ID 103972)

Personnel Hong Kong SFC License Details (ID 103972)

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
Daiwa Capital Markets Hong Kong Limited	RO	Advising on corporate finance	2022-08-22	2026-03-26
	RO	Dealing in futures contracts	2022-08-22	2026-03-26
	Rep	Dealing in futures contracts	2022-05-05	2022-08-22
	RO	Advising on securities	2021-06-16	2026-03-26
	RO	Dealing in securities	2020-07-14	2026-03-26
	RO	Advising on securities	2014-10-13	2016-03-30
	RO	Dealing in securities	2014-10-13	2016-03-30
	RO	Advising on securities	2005-09-30	2007-10-27
	RO	Dealing in securities	2005-09-30	2007-10-27
	Rep	Advising on securities	2005-08-24	2005-09-30
	Rep	Advising on corporate finance	-	2005-02-07
	Rep	Advising on securities	-	2005-02-07
	Rep	Asset management	-	2005-02-07
	Rep	Dealing in securities	-	2005-09-30
DAIWA SECURITIES SMBC (ASIA) LIMITED	Rep	Advising on corporate finance	-	2005-02-07
	Rep	Advising on securities	-	2005-02-07
	Rep	Asset management	-	2005-02-07
	Rep	Dealing in securities	-	2005-02-07