Personnel Hong Kong SFC License Details (ID 74659)

Personnel Hong Kong SFC License Details (ID 74659)

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
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Advising on securities	2015-11-05	2017-04-19
	Rep	Asset management	2015-11-05	2017-04-19
	Rep	Dealing in securities	2015-11-05	2017-04-19
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2010-11-05	2012-07-16
	Rep	Dealing in securities	2010-11-05	2012-07-16
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2010-11-05	2012-01-31
AFFINITY EQUITY PARTNERS (HK) LIMITED	Rep	Advising on securities	2007-12-21	2010-07-19
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2003-06-25
	Rep	Advising on securities	-	2003-06-25
	Rep	Asset management	-	2003-06-25