Personnel Hong Kong SFC License Details (ID 74394)

Personnel Hong Kong SFC License Details (ID 74394)

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
CITIC Securities International Global Markets Limited	RO	Advising on securities	2017-05-23	2017-10-20
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on corporate finance	2009-03-11	2017-05-01
	RO	Advising on securities	2009-03-11	2017-05-01
	RO	Dealing in securities	2009-03-11	2017-05-01
	Rep	Advising on corporate finance	2009-02-25	2009-03-11
	Rep	Advising on securities	2009-02-25	2009-03-11
	Rep	Dealing in securities	2009-02-25	2009-03-11
Citigroup Global Markets Asia Limited	RO	Advising on corporate finance	2007-06-13	2008-07-10
	RO	Dealing in securities	2007-06-13	2008-07-10
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Dealing in securities	2007-06-13	2008-07-10
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-03-25	2007-06-13
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-03-25	2007-06-13
Citigroup Global Markets Asia Limited	Rep	Advising on securities	-	2004-03-01
	Rep	Asset management	-	2004-03-01
	Rep	Advising on corporate finance	-	2007-06-13