Personnel Hong Kong SFC License Details (ID 125868)

Personnel Hong Kong SFC License Details (ID 125868)

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
FIRST SECURITIES (HK) LIMITED	RO	Asset management	2024-01-15	2024-09-30
	RO	Dealing in securities	2024-01-15	2024-09-30
	Rep	Asset management	2023-12-05	2024-01-15
	Rep	Dealing in securities	2023-12-05	2024-01-15
CSC SECURITIES (HK) LIMITED	RO	Dealing in securities	2021-11-18	2023-11-01
	RO	Advising on securities	2017-12-19	2023-11-01
	RO	Asset management	2017-11-02	2023-11-01
	Rep	Asset management	2017-08-07	2017-11-02
	Rep	Dealing in securities	2017-08-07	2021-11-18
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2008-09-17	2008-12-15
	Rep	Dealing in securities	2008-07-02	2008-12-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2008-07-02	2008-12-15
	Rep	Dealing in securities	2008-07-02	2008-12-15