Personnel Hong Kong SFC License Details (ID 107170)

Personnel Hong Kong SFC License Details (ID 107170)

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
LEHMAN BROTHERS ASIA LIMITED	RO	Advising on corporate finance	2007-10-04	2008-07-30
	RO	Advising on securities	2007-10-04	2008-07-30
	Rep	Advising on corporate finance	2006-08-03	2007-10-04
	Rep	Advising on securities	2006-08-03	2007-10-04
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2005-04-15	2005-06-16
	Rep	Dealing in securities	2005-04-15	2005-06-16
	Rep	Advising on corporate finance	-	2003-05-30
	Rep	Advising on securities	-	2003-05-30
	Rep	Asset management	-	2003-05-30
	Rep	Dealing in securities	-	2003-05-30