Personnel Hong Kong SFC License Details (ID 74473)

Personnel Hong Kong SFC License Details (ID 74473)

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
Neo Risk Investment Advisors Limited	RO	Advising on securities	2015-02-05	-
	RO	Asset management	2015-02-05	-
Synergy Fund Management Group Limited	RO	Advising on securities	2013-08-22	2014-12-31
	RO	Asset management	2013-08-22	2014-12-31
	Rep	Advising on securities	2013-07-30	2013-08-22
	Rep	Asset management	2013-07-30	2013-08-22
Citigroup Global Markets Asia Limited	RO	Dealing in securities	2008-12-22	2013-02-28
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Dealing in futures contracts	2008-12-22	2013-02-28
CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2007-02-16	2013-02-28
	RO	Asset management	2007-02-16	2013-02-28
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2003-10-16	2008-12-22
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2003-04-01	2003-10-16
	Rep	Advising on securities	2003-04-01	2003-10-16
	Rep	Asset management	2003-04-01	2003-10-16
	Rep	Providing automated trading services	2003-04-01	2003-10-16
	Rep	Dealing in securities	2003-04-01	2008-12-22
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Advising on futures contracts	2003-04-01	2003-10-13
	RO	Asset management	2003-04-01	2003-10-13
	RO	Dealing in futures contracts	2003-04-01	2003-10-16