Personnel Hong Kong SFC License Details (ID 110900)

Personnel Hong Kong SFC License Details (ID 110900)

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
LMR Partners Limited	Rep	Asset management	2019-09-03	2023-04-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2017-06-12	2019-06-28
	Rep	Dealing in securities	2017-06-12	2019-06-28
PINE RIVER CAPITAL MANAGEMENT (HK) LIMITED	Rep	Asset management	2015-09-21	2017-04-28
OMNIX CAPITAL LIMITED	Rep	Asset management	2009-05-21	2011-03-31
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-10	2009-04-08
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-10	2009-04-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2009-04-08
	Rep	Dealing in securities	2008-10-10	2009-04-08
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-05-14	2008-09-29
	Rep	Dealing in securities	2008-05-05	2008-09-29
CALF Investment Advisors Limited	RO	Asset management	2007-11-28	2008-04-18
	RO	Dealing in securities	2007-11-28	2008-04-18
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2006-05-25	2007-06-15