Personnel Hong Kong SFC License Details (ID 2630440)

Personnel Hong Kong SFC License Details (ID 2630440)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2025-08-12	-
	Rep	Dealing in securities	2025-08-12	-
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2024-10-24	2025-01-17
Macquarie Asia Securities Limited	Rep	Dealing in securities	2022-10-06	2024-09-19
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2022-10-06	2024-09-19
SBI Securities (Hong Kong) Limited	Rep	Advising on securities	2021-12-20	2022-10-05
	Rep	Dealing in securities	2021-12-20	2022-10-05
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-07-04	2020-09-28
	Rep	Dealing in securities	2016-09-08	2020-09-28