Personnel Hong Kong SFC License Details (ID 109265)

Personnel Hong Kong SFC License Details (ID 109265)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2018-09-25	2018-10-19
	Rep	Dealing in securities	2018-09-25	2018-10-19
	RO	Advising on securities	2016-08-10	2018-09-25
	RO	Dealing in securities	2016-08-10	2018-09-25
	Rep	Dealing in securities	2014-06-30	2016-08-10
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-16	2008-05-30
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	-	2003-10-13
	Rep	Advising on securities	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Providing automated trading services	-	2003-10-13
	Rep	Dealing in securities	-	2008-05-30
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	-	2008-05-30