Personnel Hong Kong SFC License Details (ID 88530)

Personnel Hong Kong SFC License Details (ID 88530)

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
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2011-03-15	2012-02-03
	Rep	Dealing in futures contracts	2009-06-17	2012-02-03
	Rep	Dealing in securities	2007-07-24	2012-02-03
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	-	2004-11-24
	Rep	Asset management	-	2004-11-24
	Rep	Dealing in futures contracts	-	2007-07-06
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-11-24
	Rep	Advising on futures contracts	-	2004-11-24
	Rep	Advising on securities	-	2004-11-24
	Rep	Asset management	-	2004-11-24
	Rep	Dealing in futures contracts	-	2007-07-06
	Rep	Dealing in securities	-	2007-07-06