Personnel Hong Kong SFC License Details (ID 2500097)

Personnel Hong Kong SFC License Details (ID 2500097)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on futures contracts	2026-03-19	-
	RO	Advising on securities	2026-03-19	-
	RO	Dealing in futures contracts	2026-03-19	-
	RO	Dealing in securities	2026-03-19	-
	RO	Advising on futures contracts	2025-03-13	2026-03-18
	RO	Advising on securities	2025-03-13	2026-03-18
	RO	Dealing in futures contracts	2025-03-13	2026-03-18
	RO	Dealing in securities	2025-03-13	2026-03-18
	Rep	Advising on futures contracts	2017-12-22	2025-03-13
	Rep	Dealing in futures contracts	2017-12-22	2025-03-13
	Rep	Advising on securities	2015-11-16	2025-03-13
	Rep	Dealing in securities	2015-11-16	2025-03-13