Personnel Hong Kong SFC License Details (ID 109394)

Personnel Hong Kong SFC License Details (ID 109394)

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
Chocolate Asset Management Limited	Rep	Asset management	2023-10-30	-
PRIVATE CAPITAL LIMITED	Rep	Asset management	2023-10-10	2023-10-13
Atherton Asset Management Limited	Rep	Asset management	2013-09-11	2022-01-31
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2008-07-30	2008-11-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2008-07-30	2008-11-19
BEAR STEARNS ASIA LIMITED	Rep	Dealing in securities	2007-05-17	2008-05-30
HSBC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2004-12-08	2005-11-14
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-11-10
	Rep	Advising on securities	2003-04-01	2004-11-10
	Rep	Asset management	2003-04-01	2004-11-10
	Rep	Dealing in securities	2003-04-01	2004-11-10