Personnel Hong Kong SFC License Details (ID 17226763)

Personnel Hong Kong SFC License Details (ID 17226763)

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
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2013-01-28	2015-10-27
	Rep	Dealing in futures contracts	2013-01-28	2015-10-27
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2009-09-28	2011-12-02
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2009-03-11	2009-09-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-09-01	2006-03-10
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2004-08-09	2006-03-10
	Rep	Dealing in securities	2004-08-09	2006-03-10
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2004-07-13
	Rep	Advising on securities	-	2004-07-13
	Rep	Asset management	-	2004-07-13
	Rep	Providing automated trading services	-	2004-07-13
	Rep	Dealing in securities	-	2004-07-13