Personnel Hong Kong SFC License Details (ID 119407)

Personnel Hong Kong SFC License Details (ID 119407)

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
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-07-02	2011-03-03
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-07-02	2011-03-03
	Rep	Dealing in securities	2009-07-02	2011-03-03
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-04	2008-12-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-09	2008-12-10
	Rep	Dealing in securities	2008-10-09	2008-12-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-08-17	2008-09-29
	Rep	Dealing in securities	2006-08-17	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2006-08-17	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-08-17	2008-09-29