Personnel SFC Licences and HKMA Registrations (ID 128984)

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	RO	Providing automated trading services	2021-05-27	-
	RO	Dealing in securities	2021-05-27	-
	Rep	Dealing in futures contracts	2021-02-17	-
	Rep	Providing automated trading services	2021-02-17	2021-05-27
	Rep	Dealing in securities	2021-02-17	2021-05-27
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2012-10-18	2015-08-16
	Rep	Providing automated trading services	2012-10-18	2015-08-16
	Rep	Dealing in securities	2012-10-18	2015-08-16
	Rep	Advising on futures contracts	2009-11-25	2010-07-05
	Rep	Advising on securities	2009-11-25	2010-07-05
	Rep	Dealing in futures contracts	2009-11-25	2010-07-05
	Rep	Dealing in securities	2009-11-25	2010-07-05

HKMA registrations

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

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