Personnel Hong Kong SFC License Details (ID 74604)

Personnel Hong Kong SFC License Details (ID 74604)

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
LORA Advisors, Limited	RO	Dealing in securities	2023-05-22	2023-10-30
	RO	Advising on securities	2023-05-22	2024-03-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2010-03-17	2011-09-26
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-03-17	2011-09-26
	Rep	Dealing in securities	2010-03-17	2011-09-26
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2007-07-27	2008-11-18
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2003-12-15	2006-10-11
Merrill Lynch Far East Limited	Rep	Dealing in securities	2003-12-15	2006-10-11
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-15	2006-10-11