Personnel Hong Kong SFC License Details (ID 90388)

Personnel Hong Kong SFC License Details (ID 90388)

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
Privium Fund Management (HK) Limited	Rep	Asset management	2021-12-17	2022-10-19
HAITONG INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2020-12-04	2021-08-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Dealing in securities	2020-12-04	2021-08-20
	Rep	Advising on securities	2016-09-29	2021-08-20
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2016-01-05	2020-12-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2016-01-05	2020-12-04
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-04	2013-04-23
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	2013-04-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2015-12-01
	Rep	Dealing in securities	2008-10-10	2015-12-01
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-04-20	2008-09-29
	Rep	Dealing in securities	2007-04-20	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2007-04-20	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-04-20	2008-09-29