Personnel Hong Kong SFC License Details (ID 84199)

Personnel Hong Kong SFC License Details (ID 84199)

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
American Century Investment Management (Asia Pacific) Limited	RO	Advising on securities	2023-09-08	-
	RO	Dealing in securities	2021-07-09	-
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2015-09-23	2019-03-12
	Rep	Dealing in securities	2015-09-23	2019-03-12
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2013-09-02	2013-11-26
	Rep	Dealing in futures contracts	2013-09-02	2013-11-26
	Rep	Dealing in securities	2013-09-02	2013-11-26
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2010-09-03	2012-06-18
	Rep	Dealing in securities	2010-09-03	2012-06-18
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2007-09-11	2012-11-29
	Rep	Advising on securities	2007-09-11	2012-11-29
	Rep	Dealing in futures contracts	2007-09-11	2012-11-29
	Rep	Dealing in securities	2007-09-11	2012-11-29