Personnel Hong Kong SFC License Details (ID 88615)

Personnel Hong Kong SFC License Details (ID 88615)

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
Quam Securities Limited	Rep	Dealing in securities	2021-08-24	2021-09-09
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2017-04-21	2020-07-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2014-09-23	2016-09-03
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2011-08-29	2014-06-06
	Rep	Dealing in securities	2011-08-29	2014-06-06
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2009-11-26	2011-05-27
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-02-03
	Rep	Asset management	-	2004-02-03
	Rep	Dealing in futures contracts	-	2005-10-31
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-03
	Rep	Advising on securities	-	2004-02-03
	Rep	Asset management	-	2004-02-03
	Rep	Dealing in securities	-	2011-05-27