Personnel Hong Kong SFC License Details (ID 77174)

Personnel Hong Kong SFC License Details (ID 77174)

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
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2015-04-15	-
	Rep	Dealing in securities	2015-04-15	-
Credit Suisse (Hong Kong) Limited	RO	Advising on corporate finance	2011-04-01	2014-08-07
	RO	Advising on securities	2011-04-01	2014-08-07
	RO	Dealing in securities	2011-04-01	2014-08-07
	Rep	Advising on corporate finance	2009-06-23	2011-04-01
	Rep	Advising on securities	2009-06-23	2011-04-01
	Rep	Dealing in securities	2009-06-23	2011-04-01
Merrill Lynch Far East Limited	Rep	Advising on securities	2005-04-22	2009-03-13
	Rep	Dealing in securities	2005-04-22	2009-03-13
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2004-06-14	2009-03-13
	Rep	Advising on securities	2004-06-14	2009-03-13
	Rep	Dealing in securities	2004-06-14	2009-03-13
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2004-06-14	2009-03-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2004-05-26
	Rep	Advising on securities	2003-04-01	2004-05-26
	Rep	Asset management	2003-04-01	2004-05-26
	Rep	Dealing in securities	2003-04-01	2004-05-26