Personnel Hong Kong SFC License Details (ID 69552)

Personnel Hong Kong SFC License Details (ID 69552)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2010-06-11	2012-02-23
	Rep	Advising on securities	2010-06-11	2012-02-23
	Rep	Dealing in securities	2010-06-11	2012-02-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2009-12-21	2010-05-04
	Rep	Advising on corporate finance	2008-10-10	2010-05-04
	Rep	Advising on securities	2008-10-10	2010-05-04
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2008-07-31	2008-09-29
	Rep	Advising on securities	2008-07-31	2008-09-29