Personnel Hong Kong SFC License Details (ID 78388)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2023-04-27	-
	Rep	Dealing in securities	2022-10-14	2023-04-27
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2016-11-16	2022-07-29
	RO	Dealing in futures contracts	2016-06-15	2022-07-29
	RO	Dealing in securities	2016-06-15	2022-07-29
Credit Suisse Securities (Hong Kong) Limited	RO	Dealing in securities	2016-06-15	2022-07-29
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2016-04-15	2016-06-15
	Rep	Dealing in securities	2016-04-15	2016-06-15
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2016-04-15	2016-06-15
Standard Chartered Securities (Hong Kong) Limited	RO	Advising on futures contracts	2012-12-17	2016-04-01
	RO	Dealing in futures contracts	2012-12-17	2016-04-01
	RO	Advising on securities	2012-10-05	2016-04-01
	RO	Dealing in securities	2012-10-05	2016-04-01
	Rep	Advising on securities	2012-06-19	2012-10-05
	Rep	Dealing in securities	2012-06-19	2012-10-05
DEUTSCHE SECURITIES ASIA LIMITED	RO	Advising on futures contracts	2011-06-02	2012-03-21
	RO	Advising on securities	2011-06-02	2012-03-21
	RO	Dealing in futures contracts	2011-06-02	2012-03-21
	RO	Dealing in securities	2011-06-02	2012-03-21
	Rep	Dealing in futures contracts	2010-04-28	2011-06-02
	Rep	Dealing in securities	2010-04-28	2011-06-02
Citigroup Global Markets Asia Limited	RO	Dealing in securities	2008-09-17	2010-02-22
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Dealing in futures contracts	2008-09-17	2010-02-22
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-01-05	2008-09-17
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-01-05	2008-09-17