Personnel Hong Kong SFC License Details (ID 98691)

Personnel Hong Kong SFC License Details (ID 98691)

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
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Dealing in securities	2022-05-05	-
WESTOCK SECURITIES INTERNATIONAL (HK) LIMITED	Rep	Dealing in securities	2009-01-07	2022-04-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-11-29	2008-12-10
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	2003-04-01	2004-11-18
	Rep	Asset management	2003-04-01	2004-11-18
	Rep	Dealing in futures contracts	2003-04-01	2008-12-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-11-18
	Rep	Advising on securities	2003-04-01	2004-11-18
	Rep	Asset management	2003-04-01	2004-11-18
	Rep	Dealing in securities	2003-04-01	2008-12-10
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-11-18
	Rep	Advising on securities	2003-04-01	2004-11-18
	Rep	Asset management	2003-04-01	2004-11-18
	Rep	Dealing in securities	2003-04-01	2008-12-10