Personnel Hong Kong SFC License Details (ID 90568)

Personnel Hong Kong SFC License Details (ID 90568)

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
CHINA SECURITIES LIMITED	RO	Advising on securities	2019-08-27	2025-12-30
	RO	Dealing in securities	2018-06-27	2025-12-30
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-03	2013-02-16
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-08	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-08	2013-02-16
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2013-02-16
	Rep	Dealing in securities	2008-10-10	2013-02-16
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-06-25	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2008-06-25	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2008-05-30	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-05-30	2008-09-29
Rabo Brokerage HK Limited	Rep	Dealing in securities	2007-09-12	2008-05-24
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2004-10-05	2006-02-17
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2004-05-25	2006-02-17
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-05-25	2006-02-17