Personnel Hong Kong SFC License Details (ID 90535)

Personnel Hong Kong SFC License Details (ID 90535)

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
Liquidnet Asia Limited	RO	Providing automated trading services	2015-05-12	2017-10-03
	RO	Dealing in securities	2015-05-12	2017-10-03
MACQUARIE CAPITAL LIMITED	RO	Providing automated trading services	2013-07-09	2014-06-27
	RO	Dealing in securities	2013-07-09	2014-06-27
	Rep	Dealing in securities	2013-01-16	2013-07-09
NOMURA SECURITIES (HONG KONG) LIMITED	RO	Providing automated trading services	2010-04-30	2012-11-15
	RO	Dealing in securities	2010-04-30	2012-11-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2012-11-15
	Rep	Dealing in securities	2008-10-10	2012-11-15
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-12-19	2008-09-29
	Rep	Dealing in securities	2006-12-19	2008-09-29