Personnel Hong Kong SFC License Details (ID 90353)

Personnel Hong Kong SFC License Details (ID 90353)

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 corporate finance	2008-10-10	2016-04-14
	Rep	Dealing in securities	2008-10-10	2016-04-14
LEHMAN BROTHERS ASIA HOLDINGS LIMITED	Rep	Advising on corporate finance	-	2003-08-12
	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
	Rep	Providing automated trading services	-	2003-08-12
	Rep	Advising on corporate finance	-	2008-09-29
	Rep	Dealing in securities	-	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
	Rep	Providing automated trading services	-	2003-08-12
	Rep	Advising on corporate finance	-	2003-09-04
	Rep	Dealing in securities	-	2008-09-29