Personnel Hong Kong SFC License Details (ID 104945)

Personnel Hong Kong SFC License Details (ID 104945)

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
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2011-03-15	2011-06-07
	Rep	Advising on securities	2011-03-15	2011-06-07
	Rep	Dealing in securities	2011-03-15	2011-06-07
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2007-10-02	2010-09-11
	Rep	Dealing in securities	2007-10-02	2010-09-11
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2004-11-18	2006-09-09
	Rep	Advising on securities	-	2004-11-16
	Rep	Asset management	-	2004-11-16
	Rep	Advising on corporate finance	-	2006-09-09