Personnel Hong Kong SFC License Details (ID 104360)

Personnel Hong Kong SFC License Details (ID 104360)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2021-02-04	2024-05-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2012-01-13	2018-05-24
	Rep	Advising on securities	2012-01-13	2018-06-11
	Rep	Dealing in securities	2011-09-19	2018-06-11
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in securities	-	2009-08-12
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in futures contracts	-	2009-08-12