Personnel Hong Kong SFC License Details (ID 77828)

Personnel Hong Kong SFC License Details (ID 77828)

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
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2013-08-19	-
	Rep	Dealing in securities	2013-08-19	-
China Reserve Securities Limited	Rep	Dealing in securities	2012-01-11	2013-08-12
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2008-11-04	2011-09-10
	Rep	Dealing in securities	2008-11-04	2011-09-10
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2007-08-21	2008-10-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-08-21	2008-10-15
	Rep	Advising on corporate finance	2003-04-01	2004-11-24
	Rep	Advising on securities	2003-04-01	2004-11-24
	Rep	Asset management	2003-04-01	2004-11-24
	Rep	Dealing in securities	2003-04-01	2008-10-15