Personnel Hong Kong SFC License Details (ID 88046)

Personnel Hong Kong SFC License Details (ID 88046)

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
uSmart Securities Limited	RO	Advising on corporate finance	2025-10-16	-
	Rep	Advising on corporate finance	2025-09-22	2025-10-16
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2017-10-04	2019-07-29
	Rep	Advising on securities	2017-10-04	2019-07-29
	Rep	Dealing in securities	2017-10-04	2019-07-29
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2014-07-18	2017-07-07
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-06-01	2014-04-12
	Rep	Advising on securities	2007-06-01	2014-04-12
	Rep	Dealing in securities	2007-06-01	2014-04-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-06-01	2014-04-12
	Rep	Advising on securities	2007-06-01	2014-04-12
	Rep	Dealing in securities	2007-06-01	2014-04-12
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2004-07-22	2006-01-03
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2004-03-08	2004-07-14