Personnel Hong Kong SFC License Details (ID 13302645)

Personnel Hong Kong SFC License Details (ID 13302645)

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	Advising on corporate finance	2026-08-27	-
	Rep	Advising on securities	2026-08-27	-
	Rep	Dealing in securities	2026-08-27	-
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2026-04-28	2026-07-12
	Rep	Asset management	2026-04-28	2026-07-12
	Rep	Dealing in securities	2026-04-28	2026-07-12
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2026-04-28	2026-07-12
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2019-05-20	2022-08-05
	Rep	Advising on securities	2019-05-20	2022-08-05
	Rep	Dealing in securities	2019-05-20	2022-08-05
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2018-03-28	2018-08-31
	Rep	Advising on securities	2018-03-28	2018-08-31
	Rep	Dealing in futures contracts	2018-03-28	2018-08-31
	Rep	Dealing in securities	2018-03-28	2018-08-31