Personnel Hong Kong SFC License Details (ID 75231)

Personnel Hong Kong SFC License Details (ID 75231)

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 securities	2011-07-07	2012-02-29
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-07-07	2012-02-29
	Rep	Dealing in securities	2011-07-07	2012-02-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-10-12
	Rep	Advising on securities	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Dealing in securities	-	2010-10-30
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Dealing in futures contracts	-	2010-10-30