Personnel Hong Kong SFC License Details (ID 80792)

Personnel Hong Kong SFC License Details (ID 80792)

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
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2021-09-23	2024-03-08
Virtu ITG Hong Kong Limited	Rep	Providing automated trading services	2014-07-02	2021-01-15
	Rep	Dealing in securities	2014-07-02	2021-01-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2011-08-02	2014-05-31
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2011-08-02	2014-05-31
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-08-02	2014-05-31
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-17	2011-06-16
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	-	2003-10-10
	Rep	Advising on securities	-	2003-10-10
	Rep	Asset management	-	2003-10-10
	Rep	Providing automated trading services	-	2003-10-10
	Rep	Dealing in securities	-	2011-06-16