Personnel Hong Kong SFC License Details (ID 124170)

Personnel Hong Kong SFC License Details (ID 124170)

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
GaoTeng Global Asset Management Limited	RO	Dealing in securities	2024-01-16	2025-05-30
	RO	Advising on securities	2018-06-14	2025-05-30
	RO	Asset management	2018-05-23	2025-05-30
	Rep	Asset management	2017-11-21	2018-05-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-10-07	2017-07-05
	Rep	Dealing in securities	2011-10-07	2017-07-05
	Rep	Dealing in futures contracts	2008-10-10	2009-06-01
	Rep	Dealing in securities	2008-10-10	2009-06-01
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-01-18	2008-09-29
	Rep	Dealing in securities	2008-01-18	2008-09-29