Personnel SFC Licences and HKMA Registrations (ID 90578)

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	Advising on securities	2018-09-17	-
	Rep	Dealing in securities	2018-09-17	-
	Rep	Advising on corporate finance	2018-09-17	2024-12-02
	Rep	Advising on corporate finance	2008-10-10	2014-08-02
	Rep	Advising on securities	2008-10-10	2014-08-02
	Rep	Dealing in securities	2008-10-10	2014-08-02
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2007-08-23	2008-09-29
	Rep	Advising on corporate finance	2006-08-01	2008-09-29
	Rep	Advising on securities	2006-08-01	2008-09-29

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.