Personnel SFC Licences and HKMA Registrations (ID 2392182)

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	RO	Advising on securities	2021-01-21	-
	RO	Dealing in securities	2021-01-21	-
	Rep	Advising on securities	2020-10-06	2021-01-21
	Rep	Dealing in securities	2020-10-06	2021-01-21
RREEF China REIT Management Limited	RO	Asset management	2015-09-25	2016-09-09
DWS Investments Hong Kong Limited	RO	Advising on securities	2015-03-13	2016-04-22
	RO	Asset management	2015-03-13	2016-04-22
	RO	Dealing in securities	2015-03-13	2016-04-22

HKMA registrations

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

HKMA records could not be loaded. Please try again later.