Personnel Hong Kong SFC License Details (ID 84334)

Personnel Hong Kong SFC License Details (ID 84334)

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
BFAM Partners (Hong Kong) Limited	Rep	Asset management	2025-11-19	2026-06-30
Jefferies Hong Kong Limited	Rep	Advising on securities	2011-03-25	2012-08-28
	Rep	Dealing in securities	2010-11-17	2012-08-28
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2010-05-17	2010-07-29
CLSA LIMITED	Rep	Dealing in securities	2010-05-17	2010-07-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-11-11	2010-03-10
	Rep	Dealing in securities	2008-11-11	2010-03-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-07-14	2008-09-29
	Rep	Dealing in securities	2008-07-14	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2008-07-14	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-07-14	2008-09-29