Personnel Hong Kong SFC License Details (ID 69846)

Personnel Hong Kong SFC License Details (ID 69846)

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	2023-11-13	-
	Rep	Dealing in securities	2023-11-13	-
	Rep	Dealing in securities	2008-12-18	2021-02-26
	Rep	Advising on corporate finance	2008-11-26	2021-02-26
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2008-10-25
	Rep	Advising on securities	2008-10-10	2008-10-25
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-07-16	2008-09-29
	Rep	Advising on securities	2007-07-16	2008-09-29