Personnel Hong Kong SFC License Details (ID 69498)

Personnel Hong Kong SFC License Details (ID 69498)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2009-10-07	2014-04-14
	Rep	Advising on securities	2009-10-07	2014-04-14
	Rep	Dealing in securities	2009-10-07	2014-04-14
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2009-02-05	2009-08-22
	Rep	Advising on corporate finance	2009-02-02	2009-08-22
	Rep	Dealing in securities	2009-02-02	2009-08-22
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2004-05-12	2008-11-19
	Rep	Dealing in securities	2004-05-12	2008-11-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-05-12	2008-11-19