Personnel Hong Kong SFC License Details (ID 74492)

Personnel Hong Kong SFC License Details (ID 74492)

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
Wells Fargo Securities Asia Limited	RO	Advising on corporate finance	2022-05-11	2024-09-03
	RO	Advising on securities	2022-05-11	2024-09-03
	RO	Dealing in securities	2022-05-11	2024-09-03
	Rep	Dealing in securities	2022-04-01	2022-05-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2017-03-10	2021-12-17
	Rep	Dealing in securities	2017-03-10	2021-12-17
Citigroup Global Markets Asia Limited	RO	Dealing in futures contracts	2013-04-26	2015-11-05
	RO	Providing automated trading services	2009-09-23	2015-11-05
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Dealing in securities	2003-10-15	2013-08-31
Citigroup Global Markets Asia Limited	RO	Providing automated trading services	-	2005-08-03
	RO	Dealing in securities	-	2015-11-05
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Dealing in futures contracts	-	2013-08-31