Personnel Hong Kong SFC License Details (ID 111447)

Personnel Hong Kong SFC License Details (ID 111447)

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
ZHONGTAI INTERNATIONAL CAPITAL LIMITED	RO	Advising on corporate finance	2016-07-04	2017-08-20
	RO	Dealing in securities	2016-07-04	2017-08-20
	Rep	Advising on corporate finance	2016-03-15	2016-07-04
	Rep	Dealing in securities	2016-03-15	2016-07-04
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2012-07-26	2016-01-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2009-11-27	2010-03-18
	Rep	Advising on corporate finance	2008-10-13	2010-03-18
	Rep	Advising on securities	2008-10-13	2010-03-18
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-04-16	2008-09-29
	Rep	Advising on securities	2007-04-16	2008-09-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2003-07-15
	Rep	Advising on securities	-	2003-07-15
	Rep	Asset management	-	2003-07-15
	Rep	Dealing in securities	-	2003-07-15