Personnel Hong Kong SFC License Details (ID 86532)

Personnel Hong Kong SFC License Details (ID 86532)

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
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Dealing in securities	2019-09-19	2022-08-01
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2015-05-06	2017-07-18
	Rep	Advising on securities	2015-05-06	2017-08-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Dealing in securities	2015-05-06	2017-07-18
	Rep	Advising on securities	2015-05-06	2022-08-01
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED	Rep	Dealing in securities	2010-06-29	2012-01-31
	Rep	Advising on securities	2009-01-02	2012-01-31
	Rep	Asset management	2009-01-02	2012-01-31
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-07-11	2008-12-03
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-07-11	2008-12-03
	Rep	Dealing in securities	2008-07-11	2008-12-03