Personnel Hong Kong SFC License Details (ID 81333)

Personnel Hong Kong SFC License Details (ID 81333)

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
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2021-02-18	2022-04-29
	Rep	Dealing in securities	2021-02-18	2022-04-29
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2016-07-08	2020-11-27
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2009-02-23	2014-03-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-09-18	2014-03-15
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	Rep	Dealing in securities	-	2007-09-07