Personnel Hong Kong SFC License Details (ID 89228)

Personnel Hong Kong SFC License Details (ID 89228)

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	Dealing in securities	2025-10-02	-
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2012-05-14
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-04-30	2012-05-14
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-04-30	2010-12-06
CAIIS Limited	Rep	Advising on securities	2009-01-20	2010-02-08
	Rep	Dealing in securities	2009-01-20	2010-02-08
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-01-31	2008-02-25