Personnel Hong Kong SFC License Details (ID 104533)

Personnel Hong Kong SFC License Details (ID 104533)

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
Ares Management Asia (Hong Kong) Limited	RO	Advising on securities	2017-02-28	2026-06-30
	RO	Dealing in securities	2016-12-16	2026-06-30
	RO	Advising on securities	2009-05-25	2014-07-18
	RO	Asset management	2009-05-25	2026-06-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2008-10-10	2008-11-18
	Rep	Dealing in securities	2008-10-10	2008-11-18
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2006-04-28	2008-09-29
	Rep	Advising on corporate finance	-	2003-08-09
	Rep	Asset management	-	2003-08-09
	Rep	Advising on securities	-	2008-09-29