Personnel Hong Kong SFC License Details (ID 69774)

Personnel Hong Kong SFC License Details (ID 69774)

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
Citigroup Global Markets Asia Limited	RO	Advising on corporate finance	2013-04-30	2026-08-24
	RO	Dealing in securities	2013-04-30	2026-08-24
	Rep	Advising on corporate finance	2012-12-07	2013-04-30
	Rep	Dealing in securities	2012-12-07	2013-04-30
	Rep	Advising on securities	2012-12-07	2026-08-24
BARCLAYS CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2011-09-23	2012-08-25
	Rep	Advising on corporate finance	2011-08-03	2011-09-23
	Rep	Dealing in securities	2011-08-03	2012-08-25
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2009-03-31	2011-03-19
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on corporate finance	2006-09-11	2011-03-19
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on corporate finance	2005-10-20	2011-03-19
	Rep	Advising on securities	-	2004-10-13
	Rep	Asset management	-	2004-10-13
	Rep	Dealing in securities	-	2005-09-16
	Rep	Advising on corporate finance	-	2005-10-20