Personnel Hong Kong SFC License Details (ID 113345)

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	RO	Dealing in futures contracts	2013-04-12	2013-05-31
	RO	Dealing in securities	2013-04-12	2013-05-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2012-09-11	2015-07-02
	RO	Advising on futures contracts	2012-09-11	2015-07-02
	RO	Advising on securities	2012-09-11	2015-07-02
	RO	Dealing in futures contracts	2012-09-11	2015-07-02
	RO	Dealing in securities	2012-09-11	2015-07-02
NOMURA SECURITIES (HONG KONG) LIMITED	RO	Providing automated trading services	2010-04-30	2010-07-16
	RO	Dealing in futures contracts	2010-02-01	2010-07-16
Nomura Asia Investment (Hong Kong) Limited	RO	Dealing in futures contracts	2009-04-27	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2009-04-27	2010-08-27
	RO	Advising on futures contracts	2009-04-27	2010-08-27
	RO	Advising on securities	2009-04-27	2010-08-27
	RO	Dealing in futures contracts	2009-04-27	2010-08-27
	RO	Dealing in securities	2009-04-27	2010-08-27
NOMURA SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2009-04-27	2010-07-16
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2009-03-24	2009-04-27
	Rep	Advising on futures contracts	2009-03-24	2009-04-27
	Rep	Advising on securities	2009-03-24	2009-04-27
	Rep	Dealing in futures contracts	2009-03-24	2009-04-27
	Rep	Dealing in securities	2009-03-24	2009-04-27
	RO	Advising on corporate finance	2005-03-22	2008-04-10
	RO	Advising on securities	2005-03-22	2008-04-10
	RO	Dealing in securities	2005-03-22	2008-04-10
	Rep	Advising on securities	2004-12-13	2005-03-22
	Rep	Advising on corporate finance	2004-01-10	2005-03-22
	Rep	Dealing in securities	2004-01-10	2005-03-22