Personnel Hong Kong SFC License Details (ID 81138)

Personnel Hong Kong SFC License Details (ID 81138)

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
Ascent Capital Advisors Limited	RO	Advising on corporate finance	2013-11-08	2022-03-07
	RO	Advising on securities	2013-11-08	2022-03-07
	RO	Dealing in securities	2013-11-08	2022-03-07
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2010-10-18	2013-06-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2009-12-30	2010-09-11
	Rep	Advising on corporate finance	2008-10-10	2010-09-11
	Rep	Advising on securities	2008-10-10	2010-09-11
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2008-07-31	2008-09-29
	Rep	Advising on securities	2008-07-31	2008-09-29