Personnel Hong Kong SFC License Details (ID 90522)

Personnel Hong Kong SFC License Details (ID 90522)

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	Dealing in futures contracts	2008-10-10	2013-03-30
	Rep	Dealing in securities	2008-10-10	2013-03-30
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-08-14	2008-09-29
	Rep	Dealing in securities	2008-08-14	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2008-08-14	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-08-14	2008-09-29
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-12-14	2008-05-07
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2005-03-31	2008-05-07
	Rep	Advising on corporate finance	-	2005-03-03
	Rep	Advising on securities	-	2005-03-03
	Rep	Asset management	-	2005-03-03
	Rep	Dealing in securities	-	2008-05-07