Personnel SFC Licences and HKMA Registrations (ID 2574165)

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	Rep	Advising on corporate finance	2022-07-20	-
	Rep	Dealing in securities	2022-07-20	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2018-10-15	2020-09-01
	Rep	Dealing in securities	2018-10-15	2020-09-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2016-05-09	2018-08-29
	Rep	Advising on securities	2016-05-09	2018-08-29
	Rep	Dealing in securities	2016-05-09	2018-08-29
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2016-05-09	2018-08-29
	Rep	Advising on securities	2016-05-09	2018-08-29
	Rep	Dealing in securities	2016-05-09	2018-08-29

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.