Personnel Hong Kong SFC License Details (ID 90573)

Personnel Hong Kong SFC License Details (ID 90573)

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 INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2022-04-11	2024-03-29
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2021-12-30	2024-03-29
	Rep	Dealing in securities	2021-12-30	2024-03-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2011-06-27	2021-08-13
	Rep	Advising on securities	2011-06-27	2021-08-13
	Rep	Dealing in futures contracts	2009-08-04	2011-06-01
	Rep	Dealing in securities	2009-08-04	2021-08-13
Morgan Stanley Asia Limited	Rep	Dealing in securities	2003-06-16	2009-06-05
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2003-05-26
	Rep	Dealing in futures contracts	-	2009-06-05