Personnel Hong Kong SFC License Details (ID 71987)

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
Liquidnet Asia Limited	Rep	Providing automated trading services	2022-09-19	-
	Rep	Dealing in securities	2022-08-29	-
CGS International Securities Hong Kong Limited	Rep	Advising on securities	2020-10-16	2022-07-31
	Rep	Dealing in securities	2017-03-22	2022-07-31
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on futures contracts	2015-11-24	2016-10-15
	Rep	Advising on securities	2015-11-24	2016-10-15
	Rep	Asset management	2015-11-24	2016-10-15
	Rep	Dealing in futures contracts	2015-11-24	2016-10-15
	Rep	Dealing in securities	2015-11-24	2016-10-15
Nomura Asset Management Hong Kong Limited	Rep	Advising on securities	2015-07-24	2015-11-20
	Rep	Asset management	2015-07-24	2015-11-20
	Rep	Dealing in securities	2015-07-24	2015-11-20
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Dealing in securities	2009-04-17	2015-07-09
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on futures contracts	2008-08-07	2008-12-11
	Rep	Asset management	2008-08-07	2008-12-11
	Rep	Dealing in securities	2008-07-25	2008-12-11
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-09-03	2008-04-11
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-08-02	2008-04-11
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2007-08-02	2008-04-11
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2006-11-02	2007-07-25