Personnel Hong Kong SFC License Details (ID 75308)

Personnel Hong Kong SFC License Details (ID 75308)

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
Arta Corporate Advisory Limited	RO	Advising on corporate finance	2022-02-17	2023-09-29
ARTA GLOBAL MARKETS LIMITED	RO	Dealing in securities	2022-02-17	2023-07-24
Arta Corporate Advisory Limited	Rep	Advising on corporate finance	2021-08-05	2022-02-17
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2017-07-14	2021-02-26
	Rep	Dealing in securities	2017-07-14	2021-02-26
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2014-05-20	2015-04-01
	Rep	Advising on securities	2014-05-20	2015-04-01
	Rep	Dealing in securities	2014-05-20	2015-04-01
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2008-09-17	2014-03-07
	Rep	Dealing in securities	2007-07-17	2014-03-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2007-07-17	2012-01-31
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2005-05-18	2006-09-28
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2005-05-18	2006-09-28
	Rep	Advising on securities	2005-05-18	2006-09-28
	Rep	Dealing in securities	2005-05-18	2006-09-28
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2004-10-13	2006-09-28
	Rep	Dealing in securities	2004-10-13	2006-09-28