Personnel Hong Kong SFC License Details (ID 110922)

Personnel Hong Kong SFC License Details (ID 110922)

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
GAM HONG KONG LIMITED	RO	Asset management	2013-05-22	2015-07-06
	Rep	Asset management	2012-05-04	2013-05-22
	Rep	Advising on securities	2012-05-04	2015-07-06
CHATER CAPITAL ADVISORS (HONG KONG) LIMITED	RO	Asset management	2010-02-19	2011-01-13
THADDEUS CAPITAL MANAGEMENT (HK) LIMITED	Rep	Asset management	2007-06-04	2007-07-25
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2004-02-04	2005-06-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-02-04	2005-06-07
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-01-19	2005-06-07
MACQUARIE CAPITAL LIMITED	Rep	Providing automated trading services	2003-05-28	2004-01-12
	Rep	Dealing in securities	2003-05-28	2004-01-12