Personnel Hong Kong SFC License Details (ID 90344)

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
CMB International Global Markets Limited	Rep	Advising on securities	2022-09-06	-
	RO	Dealing in securities	2022-07-14	-
	Rep	Dealing in securities	2021-09-17	2022-07-14
CMB International Securities Limited	Rep	Advising on securities	2020-12-16	-
	Rep	Dealing in securities	2020-12-16	-
CLSA LIMITED	Rep	Dealing in securities	2018-03-12	2019-12-11
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-10-03	2017-12-22
	Rep	Dealing in securities	2016-10-03	2017-12-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2014-07-08	2016-06-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-05-29	2016-06-29
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2013-05-29	2016-06-29
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-05-29	2016-06-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-01-03	2013-03-16
	Rep	Dealing in securities	2011-01-03	2013-03-16
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-01-03	2013-03-16
	Rep	Dealing in securities	2011-01-03	2013-03-16
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2008-06-02	2010-11-23
CLSA LIMITED	Rep	Dealing in securities	2008-06-02	2010-11-23
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2007-11-19	2008-04-24
	Rep	Dealing in futures contracts	2007-11-19	2008-04-24
	Rep	Advising on securities	2006-09-21	2008-04-24
	Rep	Dealing in securities	2006-09-04	2008-04-24
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2004-04-21	2006-08-12
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-12-06	2004-02-09
	Rep	Dealing in futures contracts	2003-12-06	2004-02-09
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2003-09-17	2004-02-09
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-13
	Rep	Asset management	2003-04-01	2003-09-13
	Rep	Providing automated trading services	2003-04-01	2003-09-13
	Rep	Advising on securities	2003-04-01	2004-02-09
	Rep	Dealing in securities	2003-04-01	2004-02-09
J.P. MORGAN FUTURES HONG KONG LIMITED	Rep	Asset management	2003-04-01	2003-09-13
	Rep	Providing automated trading services	2003-04-01	2003-09-13
	Rep	Advising on futures contracts	2003-04-01	2003-12-06
	Rep	Dealing in futures contracts	2003-04-01	2003-12-06
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-13
	Rep	Providing automated trading services	2003-04-01	2004-02-09
	Rep	Dealing in securities	2003-04-01	2004-02-09