Personnel Hong Kong SFC License Details (ID 74732)

Personnel Hong Kong SFC License Details (ID 74732)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2026-03-19	2026-07-31
	Rep	Dealing in securities	2026-03-19	2026-07-31
	Rep	Advising on securities	2025-01-08	2026-03-18
	Rep	Dealing in securities	2025-01-08	2026-03-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2019-03-07	2019-03-22
	Rep	Dealing in securities	2018-11-09	2018-11-16
	Rep	Dealing in securities	2016-06-16	2016-06-24
WELLINGTON MANAGEMENT HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-04-30	2016-04-22
	Rep	Dealing in securities	2014-04-30	2016-04-22
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-03	2014-03-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-04-30	2013-08-31
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2011-05-09	2014-03-07