Personnel Hong Kong SFC License Details (ID 81378)

Personnel Hong Kong SFC License Details (ID 81378)

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
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2011-06-08	2012-04-14
	Rep	Dealing in securities	2008-09-01	2012-04-14
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-09-01	2012-04-14
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2008-07-02	2008-07-31
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2008-07-02	2008-07-31
	Rep	Dealing in securities	2008-07-02	2008-07-31
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2003-10-10	2004-04-21
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-06-25
	Rep	Asset management	-	2003-06-25
	Rep	Advising on securities	-	2003-09-05