Personnel Hong Kong SFC License Details (ID 90360)

Personnel Hong Kong SFC License Details (ID 90360)

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
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2025-04-02	-
	Rep	Advising on corporate finance	2024-12-23	2025-04-02
	RO	Dealing in securities	2024-05-03	-
	RO	Advising on corporate finance	2024-05-03	2024-12-23
	Rep	Advising on corporate finance	2021-09-27	2024-05-03
	Rep	Dealing in securities	2021-09-27	2024-05-03
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2014-07-28	2021-06-15
	Rep	Dealing in futures contracts	2014-07-28	2021-06-15
	Rep	Advising on securities	2012-12-31	2014-03-09
	Rep	Dealing in securities	2012-12-31	2014-03-09
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2008-10-10	2012-09-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2008-05-28	2008-09-29