Personnel SFC Licences and HKMA Registrations (ID 90470)

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	2009-03-27	-
	Rep	Advising on securities	2009-03-27	-
LEHMAN BROTHERS ASIA HOLDINGS LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-13
	Rep	Advising on securities	2003-04-01	2003-08-13
	Rep	Asset management	2003-04-01	2003-08-13
LEHMAN BROTHERS ASIA LIMITED	Rep	Asset management	2003-04-01	2003-08-13
	Rep	Advising on corporate finance	2003-04-01	2008-09-29
	Rep	Advising on securities	2003-04-01	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.