Personnel Hong Kong SFC License Details (ID 77224)

Personnel Hong Kong SFC License Details (ID 77224)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2018-04-09	2021-06-28
	Rep	Advising on securities	2018-04-09	2021-06-28
	Rep	Dealing in securities	2018-04-09	2021-06-28
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2013-04-25	2017-06-23
	Rep	Dealing in securities	2013-04-25	2017-06-23
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2011-05-06	2012-08-25
	Rep	Advising on securities	2011-05-06	2012-08-25
	Rep	Dealing in securities	2011-05-06	2012-08-25
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2006-08-14	2011-03-01
	Rep	Advising on securities	2006-08-14	2011-03-01
	Rep	Dealing in securities	2006-08-14	2011-03-01
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2006-08-14	2011-03-01
	Rep	Advising on securities	2006-08-14	2011-03-01
	Rep	Dealing in securities	2006-08-14	2011-03-01