Personnel Hong Kong SFC License Details (ID 74672)

Personnel Hong Kong SFC License Details (ID 74672)

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
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-17	2016-05-21
	Rep	Dealing in securities	2010-07-23	2016-05-21
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-07-23	2013-08-31
	Rep	Dealing in securities	2010-07-23	2013-08-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2009-04-24	2009-10-10
	Rep	Advising on corporate finance	2008-06-12	2009-10-10
	Rep	Dealing in securities	2008-04-15	2009-10-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2007-06-06	2008-03-18
	Rep	Advising on securities	2004-05-18	2008-03-18