Personnel Hong Kong SFC License Details (ID 75107)

Personnel Hong Kong SFC License Details (ID 75107)

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	Advising on corporate finance	2010-06-03	-
	Rep	Dealing in securities	2010-06-03	-
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2010-06-03	2012-01-31
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2009-08-28	2010-06-01
	Rep	Dealing in securities	2009-08-28	2010-06-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2009-07-28
	Rep	Dealing in securities	2008-10-10	2009-07-28
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2005-10-14	2008-09-29
	Rep	Dealing in securities	2005-10-14	2008-09-29