Personnel Hong Kong SFC License Details (ID 94844)

Personnel Hong Kong SFC License Details (ID 94844)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	2020-05-21	2024-06-14
	RO	Advising on futures contracts	2020-05-21	2024-06-14
	RO	Advising on securities	2020-05-21	2024-06-14
	RO	Dealing in futures contracts	2020-05-21	2024-06-14
	RO	Dealing in securities	2020-05-21	2024-06-14
	Rep	Advising on corporate finance	2020-05-19	2020-05-21
	Rep	Advising on futures contracts	2020-05-19	2020-05-21
	Rep	Advising on securities	2020-05-19	2020-05-21
	Rep	Dealing in futures contracts	2020-05-19	2020-05-21
	Rep	Dealing in securities	2020-05-19	2020-05-21
	RO	Asset management	2007-01-18	2010-10-19
	RO	Advising on securities	2007-01-18	2012-06-29
	RO	Dealing in securities	2007-01-18	2012-06-29