Personnel Hong Kong SFC License Details (ID 111789)

Personnel Hong Kong SFC License Details (ID 111789)

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
NEW PACIFIC CAPITAL LIMITED	RO	Asset management	2016-04-11	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2009-11-27	2010-07-21
	Rep	Advising on corporate finance	2008-10-10	2010-07-21
	Rep	Advising on securities	2008-10-10	2010-07-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2006-10-20	2008-09-29
	Rep	Advising on securities	2006-10-20	2008-09-29
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2005-05-19	2006-09-01
	Rep	Advising on securities	2005-05-19	2006-09-01
	Rep	Dealing in securities	2005-05-19	2006-09-01
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Providing automated trading services	2003-04-01	2005-03-23
	Rep	Advising on corporate finance	2003-04-01	2006-09-01
	Rep	Advising on securities	2003-04-01	2006-09-01
	Rep	Dealing in securities	2003-04-01	2006-09-01