Personnel Hong Kong SFC License Details (ID 113281)

Personnel Hong Kong SFC License Details (ID 113281)

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 SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-04	2010-05-21
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2009-11-16	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-11-16	2010-05-21
	Rep	Dealing in securities	2009-11-16	2010-05-21
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-11-16	2010-05-21
DEEPHAVEN ASIA LIMITED	RO	Advising on securities	2005-06-14	2006-03-22
	RO	Asset management	2005-06-14	2006-03-22
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2003-12-09	2005-03-09
CLSA LIMITED	Rep	Dealing in securities	2003-12-09	2005-03-09