Personnel Hong Kong SFC License Details (ID 90304)

Personnel Hong Kong SFC License Details (ID 90304)

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	RO	Advising on corporate finance	2009-05-06	-
	RO	Advising on securities	2009-05-06	-
	RO	Dealing in securities	2009-05-06	-
	Rep	Advising on corporate finance	2008-10-10	2009-05-06
	Rep	Advising on securities	2008-10-10	2009-05-06
LEHMAN BROTHERS ASIA LIMITED	RO	Advising on corporate finance	2006-04-19	2008-09-29
	Rep	Advising on corporate finance	2005-10-14	2006-04-19
	Rep	Advising on securities	2005-10-14	2008-09-29
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2004-08-17	2005-08-30
	Rep	Advising on securities	2004-08-17	2005-08-30
	Rep	Dealing in securities	2004-08-17	2005-08-30
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2004-08-16
	Rep	Providing automated trading services	2003-04-01	2004-08-16
	Rep	Advising on corporate finance	2003-04-01	2005-08-30
	Rep	Advising on securities	2003-04-01	2005-08-30
	Rep	Dealing in securities	2003-04-01	2005-08-30