Personnel Hong Kong SFC License Details (ID 84241)

Personnel Hong Kong SFC License Details (ID 84241)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2013-07-29	-
	Rep	Dealing in futures contracts	2013-07-29	-
	Rep	Advising on securities	2013-07-29	2016-10-04
	Rep	Dealing in securities	2013-07-29	2016-10-04
	Rep	Dealing in securities	2013-06-25	2013-07-05
	Rep	Advising on futures contracts	2011-04-14	2012-06-07
	Rep	Advising on securities	2011-04-14	2012-06-07
	Rep	Dealing in futures contracts	2011-04-14	2012-06-07
	Rep	Dealing in securities	2011-04-14	2012-06-07
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2008-10-10	2010-04-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2007-07-11	2008-09-29