Personnel Hong Kong SFC License Details (ID 69753)

Personnel Hong Kong SFC License Details (ID 69753)

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
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2020-07-14	2021-05-12
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-07-14	2021-05-12
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2011-01-06	2015-05-08
	Rep	Dealing in securities	2011-01-06	2015-05-08
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-04	2010-11-24
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-10	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-10	2010-11-24
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2010-11-24
	Rep	Dealing in securities	2008-10-10	2010-11-24
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-08-14	2008-09-29
	Rep	Dealing in securities	2007-08-14	2008-09-29