Personnel Hong Kong SFC License Details (ID 111546)

Personnel Hong Kong SFC License Details (ID 111546)

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
Vantage Capital Markets HK Limited	Rep	Dealing in futures contracts	2020-11-05	2022-04-21
	Rep	Dealing in securities	2020-11-05	2022-04-21
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-07-08	2019-03-22
	Rep	Dealing in securities	2012-03-06	2019-03-22
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-03-06	2013-08-31
	Rep	Dealing in securities	2012-03-06	2013-08-31
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-04-15	2009-08-01
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-04-15	2009-08-01
	Rep	Dealing in securities	2009-04-15	2009-08-01
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-06-12	2008-12-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-12	2008-12-10
	Rep	Dealing in securities	2006-10-03	2008-12-10
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2006-08-01
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	-	2003-08-22
	Rep	Advising on corporate finance	-	2005-02-15
	Rep	Advising on securities	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Dealing in securities	-	2006-08-01