Personnel Hong Kong SFC License Details (ID 90871)

Personnel Hong Kong SFC License Details (ID 90871)

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	2022-03-22	-
	Rep	Advising on securities	2022-03-22	-
	Rep	Dealing in securities	2022-03-22	-
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	RO	Advising on corporate finance	2019-04-04	2022-03-18
	RO	Advising on securities	2019-04-04	2022-03-18
	RO	Dealing in securities	2019-04-04	2022-03-18
	Rep	Advising on corporate finance	2019-01-24	2019-04-04
	Rep	Advising on securities	2019-01-24	2019-04-04
	Rep	Dealing in securities	2019-01-24	2019-04-04
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2010-06-18	2015-09-01
	Rep	Advising on securities	2010-06-18	2015-09-01
	Rep	Dealing in securities	2010-06-18	2015-09-01
	Rep	Advising on corporate finance	2008-10-10	2009-04-24
	Rep	Advising on securities	2008-10-10	2009-04-24
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2006-09-19	2008-09-29
	Rep	Advising on securities	2006-09-19	2008-09-29