Personnel Hong Kong SFC License Details (ID 90765)

Personnel Hong Kong SFC License Details (ID 90765)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2014-02-27	-
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2013-07-11	2014-01-28
	Rep	Dealing in securities	2013-07-11	2014-01-28
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-02-03	2012-10-20
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2009-09-30	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-09-30	2012-10-20
	Rep	Dealing in securities	2008-10-10	2012-10-20
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-08-23	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2007-07-19	2008-09-29
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-03-09	2007-06-20
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2005-03-09	2007-06-20
	Rep	Dealing in futures contracts	2005-03-09	2007-06-20
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-03-09	2007-06-20