Personnel Hong Kong SFC License Details (ID 2037909)

Personnel Hong Kong SFC License Details (ID 2037909)

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
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2020-11-25	-
	RO	Advising on securities	2020-11-25	-
	RO	Dealing in securities	2020-11-25	-
	Rep	Advising on corporate finance	2020-09-10	2020-11-25
	Rep	Advising on securities	2020-09-10	2020-11-25
	Rep	Dealing in securities	2020-09-10	2020-11-25
NATIXIS ASIA LIMITED	Rep	Advising on securities	2017-04-05	2020-06-16
	Rep	Dealing in securities	2017-04-05	2020-06-16
Big Bay Asset Management (HK) Limited	RO	Asset management	2013-09-19	2017-03-14
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2013-03-20	2013-06-05
	Rep	Dealing in securities	2013-03-20	2013-06-05