Daiwa Securities SMBC (Asia) Limited
大和証券盛民博昌(亞洲)有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daiwa Securities SMBC (Asia) Limited (大和証券盛民博昌(亞洲)有限公司), a Hong Kong-based licensed corporation with CE reference AAW075. Current licensed staff on file: 0 (total recorded over time: 16).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2005-06-09 |
| Type 4 — Advising on securities | present | 2005-01-25 |
| Type 6 — Advising on corporate finance | present | 2005-01-25 |
| Type 9 — Asset management | present | 2005-01-25 |
Licensed staff (all-time) (16)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Satoshi Matsumoto | RO 1, 4, 6 | Pre-2003 | 2005-06 |
| Masashi Mizuno | RO 1 | Pre-2003 | 2004-05 |
| Tsutomu Onoue | RO 1 | 2004-03 | 2005-04 |
| Kwok Wah (SFC:AGO346) Cheung 張國華 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Ernest Kwong Hung Fan 范廣鴻 | Rep 1 | 2004-01 | 2004-02 |
| Leon Lum Hung 洪霖 | Rep 1 | 2004-03 | 2005-06 |
| Kyong Pil Kang 康景弼 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Chun Yue Leung 梁振宇 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-11 |
| Noriko Matsushita | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Kosuke Mizuno | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Peter Kwok Shing Ng 伍國成 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Yuko Ohira | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Tak Wing Tam 譚德榮 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-08 |
| Tsz Wai To 杜子偉 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Wai Lun Tong 唐偉麟 | Rep 1, 4, 6, 9 | Pre-2003 | 2005-02 |
| Fumiko Yokota 橫田文子 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-08 |
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