Personnel Hong Kong SFC License Details (ID 68773)

Personnel Hong Kong SFC License Details (ID 68773)

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
AllianceBernstein Hong Kong Limited	Rep	Advising on securities	2025-06-18	2025-06-19
	Rep	Advising on securities	2024-10-17	2024-10-18
	Rep	Advising on securities	2024-08-28	2024-08-28
	Rep	Advising on securities	2024-07-29	2024-08-02
	Rep	Advising on securities	2023-04-27	2023-04-27
	Rep	Dealing in securities	2016-03-24	2022-08-12
	Rep	Asset management	2013-04-15	2022-08-12
	Rep	Advising on securities	2008-12-12	2022-08-12
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2003-10-17	2003-11-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-17	2003-11-20
Citigroup Global Markets Asia Limited	Rep	Advising on securities	-	2003-10-15
	Rep	Asset management	-	2003-10-15
	Rep	Advising on corporate finance	-	2003-11-20