Personnel Hong Kong SFC License Details (ID 74456)

Personnel Hong Kong SFC License Details (ID 74456)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2013-05-29	2015-09-21
	Rep	Dealing in securities	2013-05-29	2015-09-21
EASTERN MARATHON INVESTMENT MANAGEMENT (HONG KONG) COMPANY LIMITED	Rep	Asset management	2012-06-14	2013-04-30
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2011-06-10	2012-02-11
	Rep	Asset management	2011-06-10	2012-02-11
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2009-06-04	2011-05-16
	Rep	Asset management	2009-06-04	2011-05-16
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2008-07-16	2008-12-16
	Rep	Dealing in securities	2008-07-16	2008-12-16
Wells Fargo Securities Asia Limited	Rep	Advising on corporate finance	2008-05-05	2008-05-30
	Rep	Advising on securities	2008-05-05	2008-05-30
	Rep	Dealing in securities	2008-05-05	2008-05-30
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2006-01-24	2007-07-10