Personnel Hong Kong SFC License Details (ID 90363)

Personnel Hong Kong SFC License Details (ID 90363)

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 CAPITAL LIMITED	Rep	Dealing in securities	2014-10-20	2016-07-18
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2013-07-24	2014-08-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-04	2012-08-25
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-08	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-08	2012-08-25
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2013-01-29
	Rep	Dealing in securities	2008-10-10	2013-01-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-08-14	2008-09-29
	Rep	Dealing in securities	2007-08-14	2008-09-29