Personnel Hong Kong SFC License Details (ID 78121)

Personnel Hong Kong SFC License Details (ID 78121)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-07-04	-
	Rep	Dealing in securities	2023-07-04	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2013-02-18	2023-04-06
	Rep	Dealing in securities	2011-10-20	2023-04-06
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2010-07-20	2011-10-08
	Rep	Advising on securities	2010-07-20	2011-10-08
	Rep	Dealing in securities	2010-07-20	2011-10-08
HUAJIN CORPORATE FINANCE (INTERNATIONAL) LIMITED	Rep	Advising on corporate finance	2009-03-13	2010-07-01
	Rep	Advising on securities	2009-03-13	2010-07-01