Personnel Hong Kong SFC License Details (ID 90697)

Personnel Hong Kong SFC License Details (ID 90697)

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
Macquarie Asia Securities Limited	Rep	Dealing in securities	2024-01-15	-
	RO	Dealing in securities	2020-09-03	2024-01-15
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2018-03-22	2018-06-25
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-03	2013-04-23
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-08	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-08	2013-04-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2013-12-14
	Rep	Dealing in securities	2008-10-10	2013-12-14
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2004-05-03	2008-09-29
	Rep	Dealing in securities	2004-05-03	2008-09-29
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2003-09-04	2004-04-15
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	2003-04-01	2003-09-01
	Rep	Advising on securities	2003-04-01	2003-09-01
	Rep	Asset management	2003-04-01	2003-09-01
	Rep	Dealing in securities	2003-04-01	2004-04-15
RBS Asia Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2003-09-01
	Rep	Advising on securities	2003-04-01	2003-09-01
	Rep	Asset management	2003-04-01	2003-09-01
	Rep	Dealing in securities	2003-04-01	2004-04-15