Personnel Hong Kong SFC License Details (ID 77264)

Personnel Hong Kong SFC License Details (ID 77264)

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	RO	Advising on corporate finance	2023-08-17	2024-07-16
	RO	Advising on securities	2023-08-17	2024-07-16
	RO	Dealing in securities	2023-08-17	2024-07-16
	Rep	Advising on corporate finance	2023-04-27	2023-08-17
	Rep	Advising on securities	2023-04-27	2023-08-17
	Rep	Dealing in securities	2023-04-27	2023-08-17
Credit Suisse (Hong Kong) Limited	RO	Advising on corporate finance	2016-02-16	2022-11-18
	RO	Advising on securities	2016-02-16	2022-11-18
	RO	Dealing in securities	2016-02-16	2022-11-18
	Rep	Advising on corporate finance	2010-05-19	2016-02-16
	Rep	Advising on securities	2010-05-19	2016-02-16
	Rep	Dealing in securities	2010-05-19	2016-02-16
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2009-07-22	2010-02-24
	Rep	Dealing in securities	2009-06-15	2010-02-24
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2009-06-15	2010-02-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2004-05-13	2008-12-11
Credit Suisse Securities (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-04-13
	Rep	Advising on securities	-	2004-04-13
	Rep	Asset management	-	2004-04-13