Personnel Hong Kong SFC License Details (ID 109621)

Personnel Hong Kong SFC License Details (ID 109621)

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	Dealing in futures contracts	2014-05-02	2015-07-24
	Rep	Dealing in securities	2014-05-02	2015-07-24
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2011-12-16	2012-07-24
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-07-10	2011-06-24
	Rep	Dealing in securities	2006-07-10	2011-06-24
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2006-03-21	2006-07-01
	Rep	Dealing in futures contracts	2006-03-21	2006-07-01
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2004-05-27	2006-03-20
	Rep	Advising on securities	2004-05-27	2006-03-20
	Rep	Dealing in securities	2004-05-27	2006-07-01