Personnel Hong Kong SFC License Details (ID 78545)

Personnel Hong Kong SFC License Details (ID 78545)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2013-12-10	2020-01-16
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-07-06	2012-09-05
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	-	2004-05-05
	Rep	Asset management	-	2004-05-05
	Rep	Dealing in futures contracts	-	2004-05-05
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-05-05
	Rep	Advising on futures contracts	-	2004-05-05
	Rep	Advising on securities	-	2004-05-05
	Rep	Asset management	-	2004-05-05
	Rep	Dealing in futures contracts	-	2004-05-05
	Rep	Dealing in securities	-	2004-05-05