Personnel Hong Kong SFC License Details (ID 90630)

Personnel Hong Kong SFC License Details (ID 90630)

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
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2018-01-04	2025-06-11
	RO	Advising on securities	2018-01-04	2025-06-11
	RO	Dealing in securities	2018-01-04	2025-06-11
	Rep	Advising on corporate finance	2015-09-21	2018-01-04
	Rep	Advising on securities	2015-09-21	2018-01-04
	Rep	Dealing in securities	2015-09-21	2018-01-04
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2012-01-13	2015-06-18
	Rep	Advising on securities	2012-01-13	2015-06-18
	Rep	Dealing in securities	2011-08-25	2015-06-18
BEAR STEARNS ASIA LIMITED	Rep	Dealing in securities	2007-06-18	2008-07-01