Personnel SFC Licences and HKMA Registrations (ID 127474)

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
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2020-01-21	-
	RO	Advising on securities	2014-05-20	-
	RO	Dealing in securities	2014-05-20	-
	Rep	Advising on securities	2013-08-20	2014-05-20
	Rep	Dealing in securities	2013-08-20	2014-05-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-01-20	2010-04-12
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-01-20	2010-04-12

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.