Personnel Hong Kong SFC License Details (ID 75309)

Personnel Hong Kong SFC License Details (ID 75309)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2020-02-19	-
	Rep	Dealing in securities	2020-02-19	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2020-02-19	-
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-21	2020-01-16
	Rep	Advising on securities	2011-10-24	2020-01-16
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2005-03-24	2013-08-31
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2005-03-01	2020-01-16
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-03-01	2013-08-31
FT Securities Limited	Rep	Advising on corporate finance	2003-04-01	2004-05-17
	Rep	Advising on securities	2003-04-01	2004-05-17
	Rep	Asset management	2003-04-01	2004-05-17
	Rep	Dealing in securities	2003-04-01	2005-02-24
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-05-17
	Rep	Asset management	2003-04-01	2004-05-17
	Rep	Dealing in futures contracts	2003-04-01	2005-02-24