Personnel Hong Kong SFC License Details (ID 110976)

Personnel Hong Kong SFC License Details (ID 110976)

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
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2024-07-08	2024-11-22
	Rep	Dealing in securities	2024-07-08	2024-11-22
BOCOM International Securities Limited	Rep	Advising on securities	2022-12-08	2024-11-22
	Rep	Dealing in securities	2022-12-08	2024-11-22
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2018-09-03	2022-06-09
	Rep	Advising on securities	2018-09-03	2022-06-09
	Rep	Dealing in securities	2018-09-03	2022-06-09
VTB Capital Hong Kong Limited	RO	Advising on securities	2014-11-26	2018-06-28
	RO	Dealing in securities	2014-11-26	2018-06-28
	RO	Advising on corporate finance	2014-03-24	2018-06-28
	Rep	Advising on corporate finance	2013-11-12	2014-03-24
	Rep	Advising on securities	2013-04-26	2014-11-26
	Rep	Dealing in securities	2013-04-26	2014-11-26
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	Asset management	-	2003-08-12
	Rep	Advising on corporate finance	-	2006-04-10
	Rep	Advising on securities	-	2006-04-10