Personnel Hong Kong SFC License Details (ID 75259)

Personnel Hong Kong SFC License Details (ID 75259)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2018-02-08	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2014-10-08	2016-10-13
	Rep	Dealing in securities	2014-10-08	2016-10-13
	Rep	Advising on futures contracts	2014-10-08	2017-03-30
	Rep	Dealing in futures contracts	2014-10-08	2017-03-30
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2008-06-13	2012-07-11
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2008-06-13	2012-07-11
	Rep	Dealing in securities	2008-06-13	2012-07-11
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-05-15	2008-04-15
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-05-15	2008-04-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-12-15	2007-04-04
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2004-05-11	2004-12-15
	Rep	Dealing in securities	2004-05-11	2007-04-04
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-05-11	2005-08-15