Personnel Hong Kong SFC License Details (ID 108252)

Personnel Hong Kong SFC License Details (ID 108252)

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
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2005-05-18	2007-03-30
	Rep	Advising on securities	2005-05-18	2007-03-30
	Rep	Dealing in securities	2005-05-18	2007-03-30
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2004-10-12	2005-04-20
	Rep	Dealing in securities	2004-10-12	2005-04-20
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-10-12	2005-04-20
LEHMAN BROTHERS ASIA HOLDINGS LIMITED	Rep	Advising on corporate finance	-	2003-08-12
	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	-	2003-08-12
	Rep	Asset management	-	2003-08-12
	Rep	Advising on securities	-	2004-10-12