Personnel Hong Kong SFC License Details (ID 23618)

Personnel Hong Kong SFC License Details (ID 23618)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	-
	Rep	Advising on corporate finance	2012-06-07	2016-12-18
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2009-10-08
	Rep	Advising on securities	2008-10-10	2009-10-08
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-09-17	2008-09-29
	Rep	Advising on securities	2007-09-17	2008-09-29
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2003-11-25	2004-03-23
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13