Personnel Hong Kong SFC License Details (ID 108169)

Personnel Hong Kong SFC License Details (ID 108169)

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
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2007-12-03	2008-11-20
Morgan Stanley Asia Limited	Rep	Dealing in securities	2007-04-27	2008-11-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-03-26	2006-06-09
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-03-26	2006-06-09
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-17
	Rep	Asset management	-	2004-02-17
	Rep	Advising on securities	-	2004-03-22
	Rep	Dealing in securities	-	2004-03-22