Personnel Hong Kong SFC License Details (ID 86230)

Personnel Hong Kong SFC License Details (ID 86230)

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
VMS Securities Limited	Rep	Advising on corporate finance	2016-08-25	2018-01-01
	Rep	Advising on securities	2016-08-25	2018-01-01
	Rep	Dealing in securities	2016-08-25	2018-01-01
STORMHARBOUR SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2014-09-01	2016-08-12
	Rep	Advising on securities	2014-09-01	2016-08-12
	Rep	Dealing in securities	2014-09-01	2016-08-12
Macquarie Asia Securities Limited	Rep	Dealing in futures contracts	2010-08-26	2011-11-03
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2010-08-26	2011-11-03
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-06-01	2010-08-24
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-06-01	2010-08-24
	Rep	Dealing in securities	2009-06-01	2010-08-24
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-06-18	2008-11-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-06-18	2008-11-19