Personnel Hong Kong SFC License Details (ID 112972)

Personnel Hong Kong SFC License Details (ID 112972)

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
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2008-12-22	2009-05-19
	Rep	Advising on securities	2008-12-22	2009-05-19
	Rep	Dealing in securities	2008-12-22	2009-05-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2008-10-14
	Rep	Advising on securities	2008-10-10	2008-10-14
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-09-24	2008-09-29
	Rep	Advising on securities	2007-09-24	2008-09-29
	Rep	Advising on corporate finance	2003-10-22	2006-08-14
	Rep	Advising on securities	2003-10-22	2006-08-14