Personnel Hong Kong SFC License Details (ID 90336)

Personnel Hong Kong SFC License Details (ID 90336)

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
Macquarie Asia Securities Limited	RO	Dealing in securities	2023-12-29	-
	Rep	Dealing in securities	2022-09-19	2023-12-29
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2022-09-19	2022-09-19
CLSA LIMITED	Rep	Dealing in securities	2018-02-06	2022-06-28
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-08-19	2013-04-23
	Rep	Dealing in futures contracts	2010-02-04	2013-04-23
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2009-07-02	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-07-02	2017-11-23
	Rep	Dealing in securities	2009-07-02	2017-11-23