Personnel Hong Kong SFC License Details (ID 112217)

Personnel Hong Kong SFC License Details (ID 112217)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2019-11-11	-
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2010-10-29	2011-04-05
	Rep	Dealing in securities	2010-10-29	2011-04-05
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-10-05	2010-02-08
HANG SENG INVESTMENT SERVICES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-08-17
	Rep	Asset management	2003-04-01	2004-08-17
	Rep	Advising on securities	2003-04-01	2006-09-04