Personnel Hong Kong SFC License Details (ID 89650)

Personnel Hong Kong SFC License Details (ID 89650)

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	2020-03-09	2020-09-23
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2015-12-18	2015-12-31
	Rep	Dealing in securities	2015-11-09	2015-11-13
	Rep	Dealing in securities	2015-09-25	2015-10-02
	Rep	Dealing in futures contracts	2012-05-25	2015-08-31
	Rep	Dealing in securities	2012-05-25	2015-08-31
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2011-06-13	2012-05-22
	Rep	Dealing in securities	2011-06-13	2012-05-22
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2011-06-13	2012-05-22
	Rep	Dealing in securities	2011-06-13	2012-05-22
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2007-05-25	2011-04-13
	Rep	Dealing in securities	2007-05-25	2011-04-13