Personnel Hong Kong SFC License Details (ID 88412)

Personnel Hong Kong SFC License Details (ID 88412)

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	Advising on securities	2013-09-03	2017-06-14
Mirae Asset Securities (HK) Limited	RO	Advising on securities	2012-10-25	2013-06-30
	Rep	Advising on securities	2009-04-01	2012-10-25
CLSA RESEARCH LIMITED	Rep	Advising on securities	2004-09-09	2009-03-04
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in securities	2004-04-16	2004-09-06
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-01-09
	Rep	Advising on securities	-	2004-01-09
	Rep	Asset management	-	2004-01-09
	Rep	Dealing in securities	-	2004-01-09