Personnel Hong Kong SFC License Details (ID 77989)

Personnel Hong Kong SFC License Details (ID 77989)

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
TAIKANG ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	Rep	Advising on securities	2016-07-12	-
	Rep	Asset management	2016-07-12	-
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2010-09-15	2016-04-26
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2010-09-15	2012-01-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2008-10-10	2010-08-19
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2007-03-09	2008-09-29