Personnel Hong Kong SFC License Details (ID 69510)

Personnel Hong Kong SFC License Details (ID 69510)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2017-01-18	2018-09-01
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2014-05-05	2014-06-03
	Rep	Dealing in securities	2014-05-05	2014-06-03
	Rep	Advising on corporate finance	2009-05-05	2013-01-24
	Rep	Dealing in securities	2009-05-05	2013-01-24
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2006-06-06	2008-11-21
	Rep	Dealing in securities	2006-06-06	2008-11-21
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2006-01-17	2006-04-24
	Rep	Dealing in securities	2006-01-17	2006-04-24
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2006-01-17	2006-04-24
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2004-06-30	2004-09-02
	Rep	Dealing in securities	2004-06-30	2004-09-02
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-06-30	2004-09-02