Personnel Hong Kong SFC License Details (ID 88793)

Personnel Hong Kong SFC License Details (ID 88793)

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
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2022-03-02	2023-11-03
	RO	Dealing in securities	2022-03-02	2023-11-03
	Rep	Dealing in securities	2010-01-15	2022-03-02
	Rep	Advising on corporate finance	2010-01-04	2022-03-02
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2009-11-21
	Rep	Advising on securities	2008-10-10	2009-11-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2008-07-31	2008-09-29
	Rep	Advising on securities	2008-07-31	2008-09-29