Personnel Hong Kong SFC License Details (ID 120628)

Personnel Hong Kong SFC License Details (ID 120628)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2023-04-18	-
	Rep	Dealing in securities	2023-04-18	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2011-11-15	2016-03-07
	Rep	Advising on securities	2011-11-15	2016-03-07
	Rep	Dealing in securities	2011-11-15	2016-03-07
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2009-08-27	2011-08-08
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on corporate finance	2007-11-14	2009-08-03
	Rep	Dealing in securities	2007-11-14	2009-08-03
ICEA CAPITAL LIMITED	Rep	Advising on corporate finance	2007-02-03	2007-10-10
	Rep	Dealing in securities	2007-02-03	2007-10-10