Personnel Hong Kong SFC License Details (ID 13463209)

Personnel Hong Kong SFC License Details (ID 13463209)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2010-05-10	2011-07-03
	Rep	Dealing in securities	2010-05-10	2011-07-03
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2010-04-04
	Rep	Dealing in securities	2008-10-10	2010-04-04
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-12-11	2008-09-29
	Rep	Dealing in securities	2007-12-11	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2007-12-11	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-12-11	2008-09-29