Personnel SFC Licences and HKMA Registrations (ID 111684)

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
DBS ASIA CAPITAL LIMITED	RO	Advising on corporate finance	2026-09-10	-
	RO	Advising on securities	2026-09-10	-
	RO	Dealing in securities	2026-09-10	-
	Rep	Advising on corporate finance	2026-09-10	2026-09-10
	Rep	Advising on securities	2026-09-10	2026-09-10
	Rep	Dealing in securities	2026-09-10	2026-09-10
	RO	Advising on corporate finance	2016-10-03	2022-11-17
	RO	Advising on securities	2016-10-03	2022-11-17
	RO	Dealing in securities	2016-10-03	2022-11-17
	Rep	Advising on corporate finance	2015-08-12	2016-10-03
	Rep	Advising on securities	2015-08-12	2016-10-03
	Rep	Dealing in securities	2015-08-12	2016-10-03
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2014-11-18	2015-01-08
	Rep	Advising on securities	2014-11-18	2015-01-08
	Rep	Dealing in securities	2014-11-18	2015-01-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2009-03-27	2011-06-22
	Rep	Dealing in securities	2009-03-27	2011-06-22
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-04-12	2008-09-29
	Rep	Dealing in securities	2007-04-12	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-04-12	2008-09-29
LEHMAN BROTHERS ASIA HOLDINGS LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-14
	Rep	Advising on securities	2003-04-01	2003-08-14
	Rep	Asset management	2003-04-01	2003-08-14
LEHMAN BROTHERS ASIA LIMITED	Rep	Asset management	2003-04-01	2003-08-14
	Rep	Advising on corporate finance	2003-04-01	2005-10-20
	Rep	Advising on securities	2003-04-01	2005-10-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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