Personnel Hong Kong SFC License Details (ID 87825)

Personnel Hong Kong SFC License Details (ID 87825)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2017-05-26	-
	Rep	Dealing in securities	2017-05-26	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-05-26	-
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2014-03-07	2017-05-17
	Rep	Dealing in futures contracts	2014-03-07	2017-05-17
	Rep	Dealing in securities	2014-03-07	2017-05-17
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-11-01	2013-11-26
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-20	2013-11-26
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-05-22	2013-11-26
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-22	2010-09-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-16	2008-05-14
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2003-04-01	2003-10-10
	Rep	Advising on securities	2003-04-01	2003-10-10
	Rep	Asset management	2003-04-01	2003-10-10
	Rep	Providing automated trading services	2003-04-01	2003-10-10
	Rep	Dealing in securities	2003-04-01	2008-05-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-10-10
	Rep	Asset management	2003-04-01	2003-10-10
	Rep	Dealing in futures contracts	2003-04-01	2008-05-14