Personnel Hong Kong SFC License Details (ID 105461)

Personnel Hong Kong SFC License Details (ID 105461)

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
Lion Global Financial Limited	RO	Asset management	2016-08-05	2018-04-04
	Rep	Advising on securities	2015-02-09	2018-04-04
	Rep	Asset management	2013-08-05	2016-08-05
	Rep	Dealing in securities	2013-08-05	2018-04-04
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-05-08	2008-01-08
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-05-08	2008-01-08
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	-	2003-10-15
	Rep	Advising on securities	-	2003-10-15
	Rep	Asset management	-	2003-10-15
	Rep	Providing automated trading services	-	2003-10-15
	Rep	Dealing in securities	-	2006-03-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Advising on futures contracts	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Dealing in futures contracts	-	2006-03-20