Personnel Hong Kong SFC License Details (ID 72410)

Personnel Hong Kong SFC License Details (ID 72410)

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
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2026-09-10	-
	RO	Dealing in futures contracts	2026-01-22	2026-09-10
	RO	Advising on securities	2021-09-14	-
	RO	Dealing in securities	2021-09-14	-
	Rep	Dealing in futures contracts	2021-06-23	2026-01-22
	Rep	Advising on securities	2021-06-09	2021-09-14
	Rep	Dealing in securities	2021-06-09	2021-09-14
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2015-04-28	2021-05-14
	RO	Dealing in securities	2015-04-28	2021-05-14
	Rep	Advising on securities	2011-09-14	2015-04-28
	Rep	Dealing in securities	2011-09-14	2015-04-28
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-11-23
	Rep	Advising on securities	2003-04-01	2004-11-23
	Rep	Asset management	2003-04-01	2004-11-23
	Rep	Dealing in securities	2003-04-01	2008-12-13