Personnel Hong Kong SFC License Details (ID 105078)

Personnel Hong Kong SFC License Details (ID 105078)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2022-07-28	2022-07-28
	Rep	Dealing in securities	2022-07-28	2022-07-28
	RO	Advising on securities	2022-07-28	2024-01-31
	RO	Dealing in securities	2022-07-28	2024-01-31
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2005-02-22	2008-09-29
	Rep	Advising on corporate finance	-	2003-08-12
	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
	Rep	Providing automated trading services	-	2003-08-12
	Rep	Dealing in securities	-	2005-02-02