Personnel Hong Kong SFC License Details (ID 75568)

Personnel Hong Kong SFC License Details (ID 75568)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Dealing in securities	2024-03-28	-
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2013-05-02	2020-05-13
	Rep	Dealing in futures contracts	2013-05-02	2024-03-31
	Rep	Dealing in securities	2013-05-02	2024-03-31
CLSA LIMITED	Rep	Dealing in securities	2009-09-15	2012-02-16
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2009-02-11	2009-09-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-06-18	2008-11-24
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-05-23	2008-11-24
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2007-05-23	2008-11-24
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2006-03-22	2007-05-15