Personnel Hong Kong SFC License Details (ID 90661)

Personnel Hong Kong SFC License Details (ID 90661)

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
Jefferies Hong Kong Limited	Rep	Dealing in futures contracts	2015-01-07	2015-08-31
	Rep	Dealing in securities	2015-01-07	2022-06-30
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2013-10-21	2014-12-03
	Rep	Dealing in securities	2013-10-21	2014-12-03
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2005-12-07	2007-08-04
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-12-07	2012-09-25
	Rep	Dealing in securities	2003-10-06	2012-09-25
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	-	2003-08-11
	Rep	Advising on securities	-	2003-08-11
	Rep	Asset management	-	2003-08-11
	Rep	Providing automated trading services	-	2003-10-03
	Rep	Dealing in securities	-	2003-10-03