Personnel Hong Kong SFC License Details (ID 121411)

Personnel Hong Kong SFC License Details (ID 121411)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2019-12-20	2020-07-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2017-09-18	2019-04-04
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2014-06-10	2017-08-23
Seres Asset Management Limited	Rep	Asset management	2011-04-04	2013-10-25
Morgan Stanley Asia Limited	Rep	Dealing in securities	2008-07-29	2009-09-07
	Rep	Advising on securities	2008-06-25	2009-09-07
BEAR STEARNS ASIA LIMITED	Rep	Advising on securities	2007-05-14	2008-05-30