Personnel Hong Kong SFC License Details (ID 88726)

Personnel Hong Kong SFC License Details (ID 88726)

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
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2023-06-26	-
	Rep	Dealing in securities	2022-10-31	2022-11-08
	Rep	Dealing in futures contracts	2016-04-25	2022-06-27
	Rep	Dealing in securities	2016-04-25	2022-06-27
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2014-02-20
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-12-01	2016-01-07
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-12-01	2010-12-06
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-04-24	2010-07-07
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-04-24	2010-07-07