Personnel Hong Kong SFC License Details (ID 90309)

Personnel Hong Kong SFC License Details (ID 90309)

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	Dealing in futures contracts	2012-03-01	2013-01-24
	RO	Dealing in securities	2012-03-01	2013-01-24
NOMURA SECURITIES (HONG KONG) LIMITED	RO	Providing automated trading services	2012-03-01	2012-12-08
	RO	Dealing in futures contracts	2012-03-01	2013-01-24
	RO	Dealing in securities	2012-03-01	2013-01-24
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-03-13	2012-03-01
	Rep	Dealing in securities	2009-03-13	2012-03-01
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-05-30	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-04-17	2008-09-29
	Rep	Dealing in securities	2007-04-17	2008-09-29
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on securities	2006-07-31	2007-02-24
	RO	Dealing in securities	2005-04-28	2007-02-24
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2004-09-15	2007-02-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-06-24	2007-02-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-06-01
	Rep	Advising on securities	-	2004-06-01
	Rep	Asset management	-	2004-06-01
	Rep	Dealing in securities	-	2004-09-15