Personnel Hong Kong SFC License Details (ID 90298)

Personnel Hong Kong SFC License Details (ID 90298)

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	2013-11-20	2024-06-27
	Rep	Dealing in futures contracts	2013-11-20	2024-06-27
	Rep	Dealing in securities	2013-11-20	2024-06-27
	RO	Advising on securities	2010-06-15	2013-11-20
	RO	Dealing in futures contracts	2010-06-15	2013-11-20
	RO	Dealing in securities	2010-06-15	2013-11-20
NOMURA SECURITIES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2010-06-15	2013-05-31
	Rep	Dealing in futures contracts	2010-02-02	2010-06-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2006-06-08	2010-06-15
	Rep	Advising on corporate finance	2006-06-08	2021-08-10
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in futures contracts	-	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-11-18
	Rep	Advising on futures contracts	-	2004-11-18
	Rep	Advising on securities	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in futures contracts	-	2010-06-15
	Rep	Dealing in securities	-	2010-06-15