Kenji Shimada
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kenji Shimada ( ), a licensed former licensee with CE reference AHK579. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa Securities SMBC Futures (Asia) Limited 大和証券盛民博昌期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2006-04-19 | 2007-07-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 1 — Dealing in securities | 2005-07-15 | 2007-07-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 4 — Advising on securities | 2005-07-15 | 2007-07-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-07-15 |
| Daiwa Securities SMBC Futures (Asia) Limited 大和証券盛民博昌期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2006-04-19 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-07 |
| Daiwa Securities SMBC Futures (Asia) Limited 大和証券盛民博昌期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2005-02-07 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-07 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-07 |
| Daiwa Securities SMBC Futures (Asia) Limited 大和証券盛民博昌期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-07 |