Personnel Hong Kong SFC License Details (ID 2107757)

Personnel Hong Kong SFC License Details (ID 2107757)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2020-12-11	-
	Rep	Dealing in securities	2020-12-11	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2020-12-11	-
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2018-11-07	2020-12-04
	Rep	Dealing in futures contracts	2018-11-07	2020-12-04
	Rep	Dealing in securities	2018-11-07	2020-12-04
	Rep	Advising on securities	2013-07-29	2018-03-13
	Rep	Dealing in futures contracts	2013-07-29	2018-03-13
	Rep	Dealing in securities	2013-07-29	2018-03-13
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2013-07-29	2013-08-31