Personnel Hong Kong SFC License Details (ID 114272)

Personnel Hong Kong SFC License Details (ID 114272)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2008-12-05	2009-10-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-09-10	2008-08-14
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-08-13	2008-08-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2007-08-13	2008-08-14
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-08-18	2007-03-16
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-06-21	2007-03-16
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2005-02-14	2005-05-18
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-02-14	2005-05-18
	Rep	Dealing in securities	2005-02-14	2005-05-18
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-08-02	2004-09-02
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-08-02	2004-09-02