Personnel Hong Kong SFC License Details (ID 105550)

Personnel Hong Kong SFC License Details (ID 105550)

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
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-07-07	2018-10-05
	Rep	Dealing in securities	2017-07-07	2018-10-05
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2016-10-17	2017-04-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-17	2004-02-24
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2003-10-10	2004-02-24
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2003-10-10	2004-02-24
FT Securities Limited	Rep	Advising on corporate finance	-	2003-09-19
	Rep	Advising on securities	-	2003-09-19
	Rep	Asset management	-	2003-09-19
	Rep	Dealing in securities	-	2003-09-19
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-09-19
	Rep	Asset management	-	2003-09-19
	Rep	Dealing in futures contracts	-	2003-09-19