Personnel Hong Kong SFC License Details (ID 70268)

Personnel Hong Kong SFC License Details (ID 70268)

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	2013-10-23	2022-11-08
	Rep	Dealing in securities	2013-10-23	2022-11-08
BLACKROCK (HONG KONG) LIMITED	Rep	Asset management	2012-11-28	2013-06-29
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2012-11-28	2013-06-29
	Rep	Asset management	2012-11-28	2013-06-29
	Rep	Dealing in securities	2012-11-28	2013-06-29
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2011-09-05	2013-06-29
	Rep	Dealing in securities	2011-09-05	2013-06-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-13	2011-07-06
	Rep	Dealing in securities	2008-10-13	2011-07-06
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-06-02	2008-09-29
	Rep	Dealing in securities	2006-06-02	2008-09-29
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2004-03-10	2006-05-03
	Rep	Advising on securities	2004-03-10	2006-05-03
	Rep	Dealing in futures contracts	2004-03-10	2006-05-03
	Rep	Dealing in securities	2004-03-10	2006-05-03