Personnel Hong Kong SFC License Details (ID 77855)

Personnel Hong Kong SFC License Details (ID 77855)

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
Nucopia Capital Limited	RO	Advising on securities	2025-11-11	-
	RO	Asset management	2025-11-11	-
Substance Capital (HK) Limited	Rep	Dealing in securities	2018-01-09	2018-04-12
	RO	Advising on securities	2017-08-08	2018-04-12
	RO	Asset management	2017-08-08	2018-04-12
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2014-09-29	2015-11-07
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2010-09-21	2014-06-25
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2010-09-21	2012-01-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2005-04-13	2005-04-19