Personnel Hong Kong SFC License Details (ID 91323)

Personnel Hong Kong SFC License Details (ID 91323)

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
DL SECURITIES (HK) LIMITED	RO	Advising on corporate finance	2015-06-30	2020-08-14
	RO	Advising on securities	2015-06-30	2020-08-14
	RO	Dealing in securities	2015-06-30	2020-08-14
	Rep	Advising on corporate finance	2014-11-13	2015-06-30
	Rep	Advising on securities	2014-11-13	2015-06-30
	Rep	Dealing in securities	2014-11-13	2015-06-30
	RO	Dealing in securities	2013-03-01	2013-11-08
	RO	Advising on corporate finance	2012-09-04	2013-11-08
	RO	Advising on securities	2012-09-04	2013-11-08
PacBridge Capital Partners (HK) Limited	Rep	Advising on corporate finance	2009-04-27	2012-04-12
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2009-01-15
	Rep	Dealing in securities	2008-10-10	2009-01-15
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-08-30	2008-09-29
	Rep	Dealing in securities	2007-08-30	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-08-30	2008-09-29