Personnel Hong Kong SFC License Details (ID 70585)

Personnel Hong Kong SFC License Details (ID 70585)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2022-11-22	-
	Rep	Dealing in futures contracts	2022-11-22	-
	Rep	Dealing in securities	2022-11-22	-
CMB International Global Markets Limited	Rep	Advising on securities	2022-08-25	2022-10-26
CMB INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2021-10-12	2022-10-26
CMB International Global Markets Limited	Rep	Dealing in securities	2021-10-12	2022-10-26
CMB International Securities Limited	Rep	Advising on securities	2021-10-12	2022-10-26
	Rep	Dealing in securities	2021-10-12	2022-10-26
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2019-06-17	2021-08-20
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2014-08-22	2021-08-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2014-08-22	2021-08-20
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-09-15	2014-08-15
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-06-27	2011-12-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2011-06-27	2014-08-15
	Rep	Dealing in securities	2011-06-27	2014-08-15