Personnel Hong Kong SFC License Details (ID 75186)

Personnel Hong Kong SFC License Details (ID 75186)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2016-03-04	2021-03-01
	RO	Dealing in securities	2016-03-04	2021-03-01
	Rep	Advising on securities	2015-09-15	2016-03-04
	Rep	Dealing in securities	2015-09-15	2016-03-04
	Rep	Advising on corporate finance	2015-09-15	2021-03-01
MUFG Securities Asia Limited	Rep	Advising on corporate finance	2013-02-18	2015-02-17
	Rep	Advising on securities	2013-02-18	2015-02-17
	Rep	Dealing in securities	2013-02-18	2015-02-17
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2012-06-07	2013-01-16
	Rep	Advising on securities	2012-06-07	2013-01-16
	Rep	Dealing in securities	2012-06-07	2013-01-16
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2011-07-13	2011-11-29
	Rep	Dealing in securities	2011-07-13	2011-11-29