Personnel Hong Kong SFC License Details (ID 81081)

Personnel Hong Kong SFC License Details (ID 81081)

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
Grant Samuel (Hong Kong) Limited	RO	Advising on securities	2025-12-16	-
	RO	Advising on corporate finance	2024-12-06	-
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2022-01-07	2022-07-20
	Rep	Dealing in securities	2022-01-07	2022-07-20
NEW PROSPECT CAPITAL LIMITED	RO	Advising on securities	2017-11-29	2018-06-01
	RO	Dealing in securities	2017-11-29	2018-06-01
SHINING CAPITAL MANAGEMENT HONG KONG LIMITED	RO	Asset management	2014-11-20	2017-05-31
	Rep	Asset management	2013-04-11	2014-11-20
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2011-07-20	2013-02-25
	Rep	Dealing in securities	2011-07-20	2013-02-25
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2010-01-11	2011-04-14
	Rep	Dealing in securities	2010-01-11	2011-04-14
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2009-06-15	2009-12-10
	Rep	Advising on securities	2009-06-15	2009-12-10
	Rep	Dealing in securities	2009-06-15	2009-12-10