Personnel Hong Kong SFC License Details (ID 114557)

Personnel Hong Kong SFC License Details (ID 114557)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2022-03-04	2023-01-09
	Rep	Dealing in securities	2022-03-04	2023-01-09
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2017-02-06	2021-04-01
NATIXIS ASIA LIMITED	Rep	Advising on securities	2014-01-06	2016-11-22
	Rep	Dealing in securities	2014-01-06	2016-11-22
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2012-02-17	2013-05-22
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2010-07-13	2011-08-16
	Rep	Dealing in securities	2010-07-13	2011-08-16
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2004-09-23	2006-03-02
	Rep	Dealing in securities	2004-09-23	2007-07-17