Personnel Hong Kong SFC License Details (ID 75908)

Personnel Hong Kong SFC License Details (ID 75908)

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
ConvergEx Asia Pacific Limited	RO	Dealing in securities	2010-12-03	2012-05-10
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2009-01-29	2010-10-30
CLSA LIMITED	Rep	Dealing in securities	2007-01-18	2009-01-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-11-29	2006-12-15
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in futures contracts	-	2006-12-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-11-18
	Rep	Advising on securities	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in securities	-	2006-12-15
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-11-18
	Rep	Advising on securities	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in securities	-	2004-11-29