Personnel Hong Kong SFC License Details (ID 126233)

Personnel Hong Kong SFC License Details (ID 126233)

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
RBC Capital Markets (Hong Kong) Limited	Rep	Dealing in securities	2010-11-02	2011-09-07
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-11-28	2009-05-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2009-05-30
	Rep	Dealing in securities	2008-10-10	2009-05-30
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-07-31	2008-09-29
	Rep	Dealing in securities	2008-07-31	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2008-07-31	2008-09-29