Personnel Hong Kong SFC License Details (ID 74906)

Personnel Hong Kong SFC License Details (ID 74906)

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
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Dealing in securities	2015-08-25	2016-09-15
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on securities	2015-08-25	2016-09-15
	Rep	Dealing in securities	2015-08-25	2016-09-15
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-05-31	2014-12-15
	Rep	Advising on securities	2011-03-09	2014-12-15
	Rep	Advising on corporate finance	2011-02-21	2014-12-15
	Rep	Dealing in securities	2011-02-21	2014-12-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-02-21	2013-08-31
	Rep	Dealing in securities	2011-02-21	2013-08-31
ORION INVESTMENT MANAGEMENT LIMITED	RO	Advising on corporate finance	2009-11-06	2011-01-31
	RO	Advising on securities	2009-11-06	2011-01-31
	RO	Dealing in securities	2009-11-06	2011-01-31
Wells Fargo Securities Asia Limited	Rep	Advising on securities	2008-09-01	2009-03-13
	Rep	Asset management	2008-09-01	2009-03-13
	Rep	Dealing in securities	2008-09-01	2009-03-13