Personnel Hong Kong SFC License Details (ID 73100)

Personnel Hong Kong SFC License Details (ID 73100)

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
China Everbright Investment Management Limited	RO	Dealing in securities	2022-05-16	-
	RO	Advising on securities	2017-01-24	-
	RO	Asset management	2017-01-24	-
	Rep	Advising on securities	2016-09-01	2017-01-24
	Rep	Asset management	2016-09-01	2017-01-24
CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED	Rep	Advising on securities	2011-05-27	2016-09-01
	Rep	Asset management	2011-05-27	2016-09-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-08-08	2009-12-05
	Rep	Dealing in securities	2008-07-14	2009-12-05
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2006-08-15	2008-06-16
	Rep	Dealing in securities	2006-08-15	2008-06-16