Personnel Hong Kong SFC License Details (ID 87703)

Personnel Hong Kong SFC License Details (ID 87703)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2022-06-15	2024-06-26
Chinese Strategic Asset Management Limited	RO	Advising on securities	2016-03-24	2019-11-30
	RO	Asset management	2016-03-24	2019-11-30
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2010-07-26	2012-04-24
	Rep	Dealing in securities	2010-07-26	2012-04-24
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2004-05-14	2007-02-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2003-05-20	2004-04-07
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	-	2003-05-02
	Rep	Advising on securities	-	2003-05-02
	Rep	Asset management	-	2003-05-02
	Rep	Providing automated trading services	-	2003-05-02
	Rep	Dealing in securities	-	2003-05-02