Personnel Hong Kong SFC License Details (ID 2121277)

Personnel Hong Kong SFC License Details (ID 2121277)

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
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	Rep	Dealing in futures contracts	2017-12-22	2025-12-31
	Rep	Dealing in securities	2017-12-22	2025-12-31
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2017-04-19	2017-12-17
Prunus Capital Management Limited	Rep	Asset management	2016-06-06	2016-08-31
OKASAN INTERNATIONAL (ASIA) LIMITED	Rep	Dealing in securities	2016-04-18	2016-05-17
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2013-08-23	2016-01-29
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2013-08-23	2016-01-29
	Rep	Dealing in securities	2013-08-23	2016-01-29