Personnel Hong Kong SFC License Details (ID 69822)

Personnel Hong Kong SFC License Details (ID 69822)

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
CHARLES-LIM CAPITAL LIMITED	RO	Asset management	2021-04-26	-
	Rep	Asset management	2015-12-18	2021-04-26
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on securities	2011-07-18	2015-12-07
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2009-08-12	2011-05-20
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-09	2009-07-01
	Rep	Advising on securities	2008-10-09	2009-07-01
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-08-01	2008-09-29
	Rep	Advising on securities	2007-08-01	2008-09-29