Personnel Hong Kong SFC License Details (ID 90721)

Personnel Hong Kong SFC License Details (ID 90721)

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	Advising on corporate finance	2013-01-14	2016-01-21
	Rep	Dealing in securities	2013-01-14	2016-01-21
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2009-06-01	2012-09-21
	Rep	Advising on securities	2009-06-01	2012-09-21
	Rep	Dealing in securities	2009-06-01	2012-09-21
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-12-03	2009-01-09
	Rep	Advising on securities	2007-12-03	2009-01-09
	Rep	Dealing in securities	2007-12-03	2009-01-09
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-12-03	2009-01-09
	Rep	Advising on securities	2007-12-03	2009-01-09
	Rep	Dealing in securities	2007-12-03	2009-01-09