Personnel Hong Kong SFC License Details (ID 75252)

Personnel Hong Kong SFC License Details (ID 75252)

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
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2014-05-20	2015-04-16
	Rep	Advising on securities	2014-05-20	2015-10-27
	Rep	Dealing in securities	2014-05-20	2015-10-27
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-03	2014-03-14
CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2012-09-13	2014-03-14
	Rep	Asset management	2012-09-13	2014-03-14
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2010-03-11	2014-03-14
CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2009-06-02	2010-04-28
	Rep	Asset management	2009-06-02	2010-04-28
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-08-06	2014-03-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-08-06	2013-08-31