Personnel Hong Kong SFC License Details (ID 122948)

Personnel Hong Kong SFC License Details (ID 122948)

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
GP ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-09-22	-
	Rep	Asset management	2026-09-22	-
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2022-11-09	2023-09-29
	Rep	Dealing in securities	2022-11-09	2023-09-29
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2022-11-09	2023-09-29
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-03	2010-12-18
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-09-03	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-09-03	2010-12-18
	Rep	Dealing in securities	2008-06-19	2010-12-18
ZURICH ADVISORY (HK) LIMITED	Rep	Advising on securities	2007-10-18	2008-05-08