Personnel Hong Kong SFC License Details (ID 111247)

Personnel Hong Kong SFC License Details (ID 111247)

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
CMB WING LUNG ASSET MANAGEMENT LIMITED	RO	Advising on securities	2018-07-19	2021-09-21
	RO	Asset management	2017-03-21	2021-09-21
	Rep	Asset management	2016-08-30	2017-03-21
Oppenheimer Investments Asia Limited	Rep	Dealing in securities	2012-05-17	2012-11-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2008-10-10	2009-08-19
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	-	2003-08-12
	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
	Rep	Providing automated trading services	-	2003-08-12
	Rep	Dealing in securities	-	2008-09-29