Personnel SFC Licences and HKMA Registrations (ID 90433)

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	Dealing in futures contracts	2008-10-10	-
	Rep	Dealing in securities	2008-10-10	-
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-07-27	2008-09-29
	Rep	Dealing in securities	2007-07-27	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-07-27	2008-09-29

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.