Personnel Hong Kong SFC License Details (ID 79660)

Personnel Hong Kong SFC License Details (ID 79660)

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
FIRST SHANGHAI FUTURES LIMITED	RO	Advising on futures contracts	2019-09-03	-
FIRST SHANGHAI SECURITIES LIMITED	RO	Dealing in securities	2019-09-03	-
FIRST SHANGHAI FUTURES LIMITED	RO	Dealing in futures contracts	2017-08-11	-
FIRST SHANGHAI SECURITIES LIMITED	Rep	Advising on securities	2017-06-01	-
FIRST SHANGHAI FUTURES LIMITED	Rep	Advising on futures contracts	2016-07-29	2019-09-03
	Rep	Dealing in futures contracts	2008-06-20	2017-08-11
FIRST SHANGHAI SECURITIES LIMITED	Rep	Dealing in securities	2008-06-20	2019-09-03
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-11-20	2008-04-02
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2007-11-20	2008-04-02
	Rep	Dealing in futures contracts	2007-10-26	2008-04-02
CHINA INTERNATIONAL FUTURES (HONG KONG) COMPANY LIMITED	Rep	Dealing in futures contracts	2006-12-01	2007-10-22