Personnel Hong Kong SFC License Details (ID 87626)

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
BridgeWood Alternatives Limited	RO	Advising on securities	2022-01-11	2025-03-28
	RO	Dealing in securities	2022-01-11	2025-03-28
	Rep	Advising on securities	2021-11-02	2022-01-11
	Rep	Dealing in securities	2021-11-02	2022-01-11
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2019-12-23	2020-07-04
Carret Private Capital Limited	RO	Advising on securities	2018-12-12	2019-11-29
	RO	Dealing in securities	2018-12-12	2019-11-29
	Rep	Advising on securities	2018-04-13	2018-12-12
	Rep	Dealing in securities	2018-04-13	2018-12-12
	Rep	Asset management	2018-04-13	2019-11-29
QL Asset Management Company Limited	Rep	Advising on securities	2017-03-13	2018-03-29
	Rep	Asset management	2017-03-13	2018-03-29
	Rep	Dealing in securities	2017-03-13	2018-03-29
Citigroup Global Markets Asia Limited	RO	Advising on securities	2015-07-30	2016-08-01
	RO	Dealing in futures contracts	2015-07-30	2016-08-01
	RO	Dealing in securities	2015-07-30	2016-08-01
	Rep	Advising on securities	2013-07-29	2015-07-30
	Rep	Dealing in futures contracts	2013-07-29	2015-07-30
	Rep	Dealing in securities	2013-07-29	2015-07-30
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2013-07-29	2013-08-31
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-11-01	2013-04-05
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-10	2013-04-05
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-06-02	2013-04-05
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-02	2010-09-10
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2008-01-04	2008-05-29
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-16	2008-05-29
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	-	2003-10-13
	Rep	Advising on securities	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Providing automated trading services	-	2003-10-13
	Rep	Dealing in securities	-	2008-05-29
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Advising on futures contracts	-	2003-10-13
	Rep	Asset management	-	2003-10-13
	Rep	Dealing in futures contracts	-	2008-05-29