Personnel Hong Kong SFC License Details (ID 90450)

Personnel Hong Kong SFC License Details (ID 90450)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2018-05-21	2020-09-24
	Rep	Advising on futures contracts	2018-05-21	2020-09-24
	RO	Advising on securities	2018-05-21	2020-09-24
	RO	Dealing in securities	2018-05-21	2020-09-24
	Rep	Dealing in securities	2008-10-10	2018-05-21
	Rep	Dealing in futures contracts	2008-10-10	2020-09-24
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-06-18	2008-09-29
	Rep	Dealing in securities	2008-06-06	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-06-06	2008-09-29
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	-	2005-01-25
	Rep	Advising on corporate finance	-	2005-03-23
	Rep	Advising on securities	-	2005-03-23
	Rep	Providing automated trading services	-	2005-03-23
	Rep	Dealing in securities	-	2008-03-11