Personnel Hong Kong SFC License Details (ID 72378)

Personnel Hong Kong SFC License Details (ID 72378)

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	2012-06-27	2013-03-16
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2010-06-24	2012-06-16
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Advising on securities	2010-04-26	2010-06-07
MF Securities Hong Kong Limited	Rep	Advising on securities	2010-03-11	2010-04-08
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2007-07-09	2010-03-05
	Rep	Dealing in securities	2007-06-13	2010-03-05
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2006-08-30	2007-05-28