Personnel Hong Kong SFC License Details (ID 87554)

Personnel Hong Kong SFC License Details (ID 87554)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2016-11-23	2021-05-04
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2016-11-23	2021-05-04
	RO	Dealing in securities	2016-11-23	2021-05-04
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-11-03	2016-11-23
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2016-11-03	2016-11-23
	Rep	Dealing in securities	2016-11-03	2016-11-23
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-03	2016-08-19
	Rep	Dealing in securities	2012-09-05	2016-08-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-09-05	2013-08-31
	Rep	Dealing in securities	2012-09-05	2013-08-31
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-26	2012-06-08
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-09-26	2012-06-08
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-09-26	2012-06-08
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-09-26	2010-08-26