Personnel Hong Kong SFC License Details (ID 73276)

Personnel Hong Kong SFC License Details (ID 73276)

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
Mu Investment Management (Asia) Limited	RO	Asset management	2014-09-29	2020-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	RO	Advising on securities	2011-01-07	2014-02-28
	RO	Asset management	2011-01-07	2014-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2010-10-21	2014-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2010-09-22	2011-01-07
	Rep	Asset management	2010-09-22	2011-01-07
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2010-05-24	2010-10-21
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-16	2008-09-30
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2003-06-19	2008-09-30
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2003-06-19	2008-09-30
FT Securities Limited	Rep	Advising on corporate finance	-	2003-05-16
	Rep	Advising on securities	-	2003-05-16
	Rep	Asset management	-	2003-05-16
	Rep	Dealing in securities	-	2003-05-16
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-05-16
	Rep	Asset management	-	2003-05-16
	Rep	Dealing in futures contracts	-	2003-05-16