Personnel Hong Kong SFC License Details (ID 90432)

Personnel Hong Kong SFC License Details (ID 90432)

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
KGI ASIA LIMITED	Rep	Dealing in securities	2023-10-04	-
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2014-08-29	2014-09-12
	Rep	Dealing in futures contracts	2014-08-29	2014-09-12
	Rep	Dealing in securities	2014-08-29	2014-09-12
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-02	2013-04-23
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2007-08-29	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-08-15	2014-05-31
	Rep	Dealing in securities	2007-08-15	2014-05-31