Personnel SFC Licences and HKMA Registrations (ID 2157284)

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	2018-04-23	2021-05-03
	Rep	Advising on securities	2018-04-23	2021-05-03
	Rep	Dealing in securities	2014-10-07	-
	Rep	Dealing in futures contracts	2014-10-07	2019-03-07
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-02-17	2014-08-08
	Rep	Advising on futures contracts	2013-11-04	2014-08-08

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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