Personnel Hong Kong SFC License Details (ID 109110)

Personnel Hong Kong SFC License Details (ID 109110)

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
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Dealing in securities	2024-09-16	-
TFI Securities and Futures Limited	Rep	Dealing in securities	2023-12-01	2024-09-04
BTIG Hong Kong Limited	Rep	Dealing in securities	2012-07-03	2012-12-31
Oppenheimer Investments Asia Limited	Rep	Dealing in securities	2010-09-24	2011-05-18
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2007-04-30	2007-08-10
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-02
	Rep	Advising on securities	2003-04-01	2004-02-02
	Rep	Asset management	2003-04-01	2004-02-02