Personnel Hong Kong SFC License Details (ID 74640)

Personnel Hong Kong SFC License Details (ID 74640)

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
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Dealing in securities	2021-08-23	2022-04-25
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-04	2015-03-25
	Rep	Dealing in securities	2007-02-05	2015-03-25
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-02-05	2013-08-31
	Rep	Dealing in securities	2007-02-05	2013-08-31
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-12-16
	Rep	Advising on securities	-	2003-12-16
	Rep	Asset management	-	2003-12-16
	Rep	Dealing in securities	-	2005-11-14