Personnel Hong Kong SFC License Details (ID 93354)

Personnel Hong Kong SFC License Details (ID 93354)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2021-10-19	2026-06-30
	Rep	Advising on securities	2021-10-19	2026-06-30
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2018-11-15	2021-05-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on securities	2012-08-01	2018-09-06
	Rep	Advising on securities	2012-05-11	2012-08-01
Credit Agricole Securities (Asia) Limited	RO	Advising on securities	2011-05-24	2012-04-12
	Rep	Advising on securities	2008-05-16	2011-05-24
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2004-06-16	2005-04-22
	Rep	Dealing in securities	2004-06-16	2007-05-17