Personnel Hong Kong SFC License Details (ID 2127829)

Personnel Hong Kong SFC License Details (ID 2127829)

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	2024-10-03	-
	Rep	Dealing in securities	2024-10-03	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2022-05-20	2024-05-02
	Rep	Dealing in securities	2022-05-20	2024-05-02
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2015-07-08	2015-11-03
	Rep	Dealing in securities	2015-07-08	2015-11-03
	Rep	Advising on futures contracts	2015-07-08	2022-03-25
	Rep	Dealing in futures contracts	2015-07-08	2022-03-25
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2015-07-08	2022-03-25
	Rep	Dealing in securities	2015-07-08	2022-03-25
Morgan Stanley Asia Limited	Rep	Dealing in securities	2013-09-05	2015-07-03
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-09-05	2015-07-03
	Rep	Dealing in futures contracts	2013-09-05	2015-07-03
	Rep	Dealing in securities	2013-09-05	2015-07-03