Personnel Hong Kong SFC License Details (ID 90567)

Personnel Hong Kong SFC License Details (ID 90567)

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	2011-11-17
	Rep	Dealing in securities	2008-10-10	2011-11-17
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-05-11	2008-09-29
	Rep	Dealing in securities	2006-05-11	2008-09-29
SG SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2005-08-05	2006-04-03
	Rep	Dealing in securities	2005-08-05	2006-04-03
CES Commodities (HK) Limited	Rep	Advising on futures contracts	-	2004-01-19
	Rep	Asset management	-	2004-01-19
	Rep	Dealing in futures contracts	-	2005-07-19
Everbright Securities Investment Services (HK) Limited	Rep	Providing automated trading services	-	2003-07-07
	Rep	Advising on corporate finance	-	2004-01-19
	Rep	Advising on securities	-	2004-01-19
	Rep	Asset management	-	2004-01-19
	Rep	Dealing in securities	-	2005-07-19