Personnel Hong Kong SFC License Details (ID 88474)

Personnel Hong Kong SFC License Details (ID 88474)

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
CITIC Securities International Global Markets Limited	Rep	Dealing in securities	2021-10-11	2024-06-28
	RO	Dealing in securities	2020-01-29	2021-10-11
	Rep	Advising on securities	2019-04-24	2024-06-28
	Rep	Dealing in securities	2017-06-26	2020-01-29
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2013-11-07	2024-06-28
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-05-30	2013-09-02
	Rep	Dealing in securities	2012-06-28	2013-09-02
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-06-28	2013-09-02
MUFG Securities Asia Limited	Rep	Dealing in securities	2011-08-04	2012-06-27
ORION INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2010-10-25	2011-08-02
	RO	Dealing in securities	2010-10-25	2011-08-02
	Rep	Advising on securities	2010-04-15	2010-10-25
	Rep	Dealing in securities	2010-04-15	2010-10-25