Personnel Hong Kong SFC License Details (ID 115896)

Personnel Hong Kong SFC License Details (ID 115896)

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
BTIG Hong Kong Limited	Rep	Dealing in securities	2025-06-19	-
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-12-05	2025-05-09
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2011-09-21	2012-11-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-09-21	2012-11-15
	Rep	Dealing in securities	2011-09-21	2012-11-15
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2008-08-21	2011-08-08
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2007-07-24	2008-06-06
	Rep	Advising on securities	2007-07-24	2008-06-06
	Rep	Dealing in futures contracts	2007-07-24	2008-06-06
	Rep	Dealing in securities	2007-07-24	2008-06-06
JPMorgan Asset Management (Asia Pacific) Limited	Rep	Advising on futures contracts	2007-05-10	2007-06-22
	Rep	Advising on securities	2007-05-10	2007-06-22
	Rep	Asset management	2007-05-10	2007-06-22
	Rep	Dealing in futures contracts	2007-05-10	2007-06-22
	Rep	Dealing in securities	2007-05-10	2007-06-22
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2005-05-10	2007-05-01
	Rep	Dealing in securities	2005-05-10	2007-05-01