Personnel SFC Licences and HKMA Registrations (ID 77159)

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	RO	Advising on corporate finance	2024-05-20	-
	RO	Advising on securities	2024-05-20	-
	RO	Dealing in securities	2024-05-20	-
	Rep	Advising on corporate finance	2015-11-02	2024-05-20
	Rep	Advising on securities	2015-11-02	2024-05-20
	Rep	Dealing in securities	2015-11-02	2024-05-20
Credit Suisse (Hong Kong) Limited	RO	Providing automated trading services	2010-11-24	2012-11-17
	RO	Advising on corporate finance	2007-04-13	2012-07-23
	RO	Advising on securities	2007-04-13	2012-11-17
	RO	Dealing in securities	2007-04-13	2012-11-17
	Rep	Advising on securities	2006-09-26	2007-04-13
	Rep	Dealing in securities	2006-09-26	2007-04-13
	Rep	Advising on corporate finance	2006-09-22	2007-04-13
	RO	Advising on corporate finance	2006-02-14	2006-09-22
	RO	Advising on securities	2006-02-14	2006-09-26
	RO	Dealing in securities	2006-02-14	2006-09-26
	Rep	Advising on corporate finance	2005-04-19	2006-02-14
	Rep	Advising on securities	2005-04-19	2006-02-14
	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Dealing in securities	2003-04-01	2006-02-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.