Personnel Hong Kong SFC License Details (ID 99807)

Personnel Hong Kong SFC License Details (ID 99807)

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
Credit Agricole Securities (Asia) Limited	Rep	Advising on securities	2018-03-19	2025-10-30
	Rep	Dealing in securities	2018-03-19	2025-10-30
RBC Capital Markets (Hong Kong) Limited	Rep	Dealing in securities	2011-06-24	2012-11-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-11-29	2007-05-12
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in futures contracts	-	2004-11-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-11-18
	Rep	Advising on securities	-	2004-11-18
	Rep	Asset management	-	2004-11-18
	Rep	Dealing in securities	-	2007-05-12