Personnel Hong Kong SFC License Details (ID 78520)

Personnel Hong Kong SFC License Details (ID 78520)

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	Dealing in futures contracts	2023-02-22	-
	Rep	Dealing in securities	2023-01-11	-
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in securities	2019-12-19	2022-12-28
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2010-05-10	2018-02-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2004-06-15	2008-11-24
	Rep	Advising on corporate finance	2003-04-01	2004-01-30
	Rep	Advising on securities	2003-04-01	2004-01-30
	Rep	Providing automated trading services	2003-04-01	2004-01-30
	Rep	Dealing in securities	2003-04-01	2004-01-30
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2003-04-01	2004-01-30
	Rep	Dealing in futures contracts	2003-04-01	2004-01-30