Personnel Hong Kong SFC License Details (ID 120371)

Personnel Hong Kong SFC License Details (ID 120371)

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 INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2008-11-05	2008-12-10
	Rep	Dealing in securities	2008-11-05	2008-12-10
Neuberger Berman Asia Limited	Rep	Advising on securities	2008-04-23	2008-10-24
	Rep	Asset management	2008-04-23	2008-10-24
	Rep	Dealing in securities	2008-04-23	2008-10-24
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2006-12-20	2008-03-20
	Rep	Dealing in securities	2006-12-20	2008-03-20
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-12-20	2008-03-20