Personnel Hong Kong SFC License Details (ID 90820)

Personnel Hong Kong SFC License Details (ID 90820)

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
China Securities (International) Brokerage Company Limited	Rep	Advising on securities	2021-11-02	2024-07-31
	Rep	Dealing in futures contracts	2021-11-02	2024-07-31
	Rep	Dealing in securities	2021-11-02	2024-07-31
CMB International Securities Limited	Rep	Advising on securities	2017-09-27	2019-09-30
	Rep	Dealing in securities	2017-09-27	2019-09-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2014-09-02	2015-11-30
	Rep	Dealing in futures contracts	2014-09-02	2016-04-29
	Rep	Dealing in securities	2014-09-02	2016-04-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2011-11-17
	Rep	Dealing in securities	2008-10-10	2011-11-17
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-11-12	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-08-11	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2006-08-11	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2005-08-04	2008-09-29
CLSA LIMITED	Rep	Advising on corporate finance	-	2004-03-18
	Rep	Advising on securities	-	2004-03-18
	Rep	Asset management	-	2004-03-18
	Rep	Dealing in securities	-	2005-07-19