Personnel Hong Kong SFC License Details (ID 115316)

Personnel Hong Kong SFC License Details (ID 115316)

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
Admiralty Harbour Capital Limited	Rep	Advising on corporate finance	2026-07-16	-
	Rep	Advising on securities	2026-07-16	-
	Rep	Asset management	2026-07-16	-
	Rep	Dealing in securities	2026-07-16	-
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	RO	Asset management	2019-02-22	2024-09-11
orientiert International Markets Limited	RO	Asset management	2019-01-14	2023-04-06
oOo Securities (HK) Group Limited	RO	Asset management	2018-05-31	2023-04-06
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	RO	Advising on securities	2017-06-07	2024-09-11
	RO	Dealing in securities	2017-06-07	2024-09-11
orientiert International Markets Limited	RO	Advising on securities	2016-11-09	2023-04-06
	RO	Dealing in securities	2016-11-09	2023-04-06
oOo Securities (HK) Group Limited	Rep	Asset management	2016-04-08	2018-05-31
	RO	Advising on securities	2016-04-07	2023-04-06
	RO	Dealing in securities	2016-04-07	2023-04-06
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2009-09-02
	Rep	Dealing in securities	2008-10-10	2009-09-02
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2005-02-01	2008-09-29
	Rep	Dealing in securities	2005-02-01	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-02-01	2008-09-29