Personnel Hong Kong SFC License Details (ID 11793797)

Personnel Hong Kong SFC License Details (ID 11793797)

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
Ninety One Hong Kong Limited	Rep	Dealing in futures contracts	2023-09-27	-
	Rep	Advising on securities	2022-10-05	-
	Rep	Dealing in securities	2022-08-11	-
Morgan Stanley Asia Limited	Rep	Dealing in securities	2021-07-23	2022-05-04
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2021-07-23	2022-05-04
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2018-07-04	2021-06-03
	Rep	Dealing in securities	2018-07-04	2021-06-03
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-08-28	2018-06-15
	Rep	Dealing in securities	2017-08-28	2018-06-15