Personnel Hong Kong SFC License Details (ID 77344)

Personnel Hong Kong SFC License Details (ID 77344)

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
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-05-28	2013-11-01
	Rep	Dealing in futures contracts	2010-05-28	2023-08-03
	Rep	Dealing in securities	2010-05-28	2023-08-03
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2010-05-28	2023-08-03
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-02	2010-03-20
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-11-28	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2010-03-20
	Rep	Dealing in securities	2008-10-10	2010-03-20
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2005-10-13	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2005-10-13	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2005-09-15	2008-09-29