Personnel Hong Kong SFC License Details (ID 105937)

Personnel Hong Kong SFC License Details (ID 105937)

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 corporate finance	2008-10-13	2009-04-04
	Rep	Advising on securities	2008-10-13	2009-04-04
	Rep	Dealing in securities	2008-10-13	2009-04-04
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2008-08-18	2008-09-29
	Rep	Advising on securities	2008-08-18	2008-09-29
	Rep	Dealing in securities	2008-08-18	2008-09-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	-	2004-10-14
	Rep	Asset management	-	2004-10-14
	Rep	Advising on corporate finance	-	2008-05-20
	Rep	Dealing in securities	-	2008-05-20