Personnel Hong Kong SFC License Details (ID 12606915)

Personnel Hong Kong SFC License Details (ID 12606915)

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	Dealing in futures contracts	2026-06-15	-
	Rep	Dealing in securities	2026-06-15	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2022-05-17	2026-06-07
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in futures contracts	2019-09-06	2026-06-07
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2017-11-29	2026-06-07
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2017-11-29	2026-06-07
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2017-11-29	2025-04-28