Personnel Hong Kong SFC License Details (ID 78086)

Personnel Hong Kong SFC License Details (ID 78086)

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
FITCH (HONG KONG) LIMITED	Rep	Providing credit rating services	2014-08-18	-
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2010-09-13	2014-05-15
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2010-09-13	2012-01-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2008-09-29	2010-07-15
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-07-16	2008-09-05
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2004-04-15	2007-06-23