Personnel Hong Kong SFC License Details (ID 70475)

Personnel Hong Kong SFC License Details (ID 70475)

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
LAZARD ASIA (HONG KONG) LIMITED	RO	Advising on corporate finance	2024-04-26	-
	RO	Advising on securities	2024-04-26	-
	RO	Dealing in securities	2024-04-26	-
	Rep	Advising on corporate finance	2014-07-04	2024-04-26
	Rep	Advising on securities	2014-07-04	2024-04-26
	Rep	Dealing in securities	2014-07-04	2024-04-26
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2013-03-28	2014-04-28
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2010-11-19	2014-04-28
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2008-04-16	2010-09-04
	Rep	Dealing in securities	2008-04-16	2010-09-04