Personnel Hong Kong SFC License Details (ID 90598)

Personnel Hong Kong SFC License Details (ID 90598)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2024-02-27	-
	Rep	Dealing in securities	2024-02-27	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2021-03-18	2023-08-03
	Rep	Dealing in securities	2021-03-18	2023-08-03
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2021-03-18	2023-08-03
	Rep	Dealing in securities	2021-03-18	2023-08-03
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-08-22	2020-10-20
	Rep	Dealing in securities	2011-08-22	2020-10-20
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-08-22	2013-04-23
	Rep	Dealing in securities	2011-08-22	2013-04-23
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Rep	Advising on securities	2010-10-09	2011-08-06
	Rep	Asset management	2010-10-09	2011-08-06
	Rep	Dealing in securities	2010-10-09	2011-08-06