Personnel Hong Kong SFC License Details (ID 90712)

Personnel Hong Kong SFC License Details (ID 90712)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2019-11-20	2020-01-14
	Rep	Advising on futures contracts	2019-11-20	2020-01-14
	Rep	Advising on securities	2019-11-20	2020-01-14
	Rep	Dealing in futures contracts	2019-11-20	2020-01-14
	Rep	Dealing in securities	2019-11-20	2023-07-20
	RO	Advising on corporate finance	2018-02-23	2019-11-20
	RO	Advising on futures contracts	2018-02-23	2019-11-20
	RO	Advising on securities	2018-02-23	2019-11-20
	RO	Dealing in futures contracts	2018-02-23	2019-11-20
	RO	Dealing in securities	2018-02-23	2019-11-20
	Rep	Advising on futures contracts	2017-12-01	2018-02-23
	Rep	Dealing in futures contracts	2017-12-01	2018-02-23
	Rep	Asset management	-	2004-11-23
	Rep	Advising on corporate finance	-	2018-02-23
	Rep	Advising on securities	-	2018-02-23
	Rep	Dealing in securities	-	2018-02-23