Personnel Hong Kong SFC License Details (ID 31765769)

Personnel Hong Kong SFC License Details (ID 31765769)

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 corporate finance	2026-03-19	2026-08-31
	RO	Advising on futures contracts	2026-03-19	2026-08-31
	RO	Advising on securities	2026-03-19	2026-08-31
	RO	Dealing in futures contracts	2026-03-19	2026-08-31
	RO	Dealing in securities	2026-03-19	2026-08-31
	RO	Advising on corporate finance	2024-05-07	2026-03-18
	RO	Advising on futures contracts	2024-05-07	2026-03-18
	RO	Advising on securities	2024-05-07	2026-03-18
	RO	Dealing in futures contracts	2024-05-07	2026-03-18
	RO	Dealing in securities	2024-05-07	2026-03-18