Personnel Hong Kong SFC License Details (ID 98351)

Personnel Hong Kong SFC License Details (ID 98351)

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
FITCH (HONG KONG) LIMITED	Rep	Providing credit rating services	2012-10-08	-
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on securities	2010-08-26	2012-09-29
	Rep	Advising on securities	2010-02-24	2010-08-26
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Advising on securities	2009-12-22	2010-01-23
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2009-04-16	2009-11-28
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-11-23
	Rep	Asset management	2003-04-01	2004-11-23
	Rep	Dealing in securities	2003-04-01	2004-11-23
	Rep	Advising on securities	2003-04-01	2008-12-10