Personnel SFC Licences and HKMA Registrations (ID 88603)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2022-10-21	-
Nomura Asset Management Hong Kong Limited	RO	Advising on securities	2022-06-09	2022-08-31
	RO	Asset management	2022-06-09	2022-08-31
	RO	Dealing in securities	2022-06-09	2022-08-31
	Rep	Advising on securities	2018-10-08	2022-06-09
	Rep	Asset management	2018-10-08	2022-06-09
	Rep	Dealing in securities	2018-10-08	2022-06-09
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2010-08-18	2014-09-07
	Rep	Advising on securities	2010-08-18	2014-09-07
	Rep	Dealing in securities	2010-08-18	2014-09-07
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-05-07	2009-07-23
	Rep	Advising on securities	2008-05-07	2009-07-23
	Rep	Dealing in securities	2008-05-07	2009-07-23

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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