Personnel Hong Kong SFC License Details (ID 90261)

Personnel Hong Kong SFC License Details (ID 90261)

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	Advising on securities	2024-02-05	-
	Rep	Dealing in securities	2024-02-05	-
Lion Global Financial Limited	RO	Asset management	2013-06-26	2016-02-29
	Rep	Advising on securities	2010-09-29	2011-07-27
	Rep	Asset management	2010-09-29	2013-06-26
	Rep	Dealing in securities	2010-08-03	2013-05-31
CLSA LIMITED	Rep	Dealing in securities	2009-05-06	2010-07-02
CINDA INTERNATIONAL INVESTMENT CONSULTANT LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-18
	Rep	Asset management	2003-04-01	2003-12-18
	Rep	Advising on securities	2003-04-01	2004-10-25