Personnel Hong Kong SFC License Details (ID 104002)

Personnel Hong Kong SFC License Details (ID 104002)

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
Centuriam Limited	RO	Dealing in securities	2024-02-02	2025-01-26
	RO	Advising on securities	2023-12-07	2025-01-26
	RO	Asset management	2023-12-07	2025-01-26
	Rep	Advising on securities	2023-07-21	2023-12-07
	Rep	Asset management	2023-07-21	2023-12-07
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on securities	2013-09-13	2020-10-18
	RO	Dealing in securities	2013-09-13	2020-10-18
	Rep	Advising on securities	2013-07-26	2013-09-13
	Rep	Dealing in securities	2013-07-26	2013-09-13
	Rep	Advising on corporate finance	2013-07-26	2020-10-18
	Rep	Dealing in futures contracts	2013-07-26	2020-10-18
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-03	2010-07-22
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2009-08-10	2010-07-22
	Rep	Advising on securities	2009-08-10	2010-07-22
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2007-08-24	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-08-01	2010-07-22
	Rep	Dealing in securities	2005-08-01	2010-07-22