Personnel Hong Kong SFC License Details (ID 69573)

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	Dealing in futures contracts	2011-08-30	2013-01-24
	Rep	Dealing in securities	2011-08-30	2013-01-24
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2010-06-14	2011-06-01
	Rep	Advising on securities	2010-06-14	2011-06-01
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-02	2010-05-14
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-08	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2010-05-14
	Rep	Dealing in securities	2008-10-10	2011-06-01
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-05-25	2008-09-29
	Rep	Dealing in securities	2007-05-25	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2007-05-25	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-05-25	2008-09-29
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-03-07	2007-04-25
	Rep	Dealing in securities	2006-03-07	2007-04-25
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2004-09-13	2006-02-07
	Rep	Dealing in securities	2004-09-13	2006-02-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-16	2004-08-17
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2003-08-05	2004-08-17
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2003-08-05	2004-08-17
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	-	2003-04-08
	Rep	Advising on securities	-	2003-04-08
	Rep	Asset management	-	2003-04-08
	Rep	Providing automated trading services	-	2003-04-08
	Rep	Dealing in securities	-	2003-04-08