Personnel Hong Kong SFC License Details (ID 93367)

Personnel Hong Kong SFC License Details (ID 93367)

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
Dynasty Alliance Investment Management Limited	Rep	Advising on securities	2024-10-29	2026-08-07
	Rep	Asset management	2024-10-29	2026-08-07
Basis Asset Management Limited	Rep	Advising on securities	2022-08-05	2024-10-08
	Rep	Asset management	2022-08-05	2024-10-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2014-10-20	2016-04-01
CGS International Securities Hong Kong Limited	Rep	Advising on securities	2012-07-03	2014-09-01
Credit Agricole Securities (Asia) Limited	Rep	Advising on securities	2006-10-18	2012-06-30
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2005-02-24	2006-07-21