Arisa Shimamoto
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Arisa Shimamoto, a licensed Responsible Officer with CE reference BGM560. Currently licensed at 1 firm(s): SMBC Nikko Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts. This person has 10.7 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2025-03-13 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2025-03-13 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2025-03-13 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2025-03-13 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-12-22 | 2025-03-13 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2017-12-22 | 2025-03-13 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-16 | 2025-03-13 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-11-16 | 2025-03-13 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Arisa Shimamoto during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.