Personnel Hong Kong SFC License Details (ID 89109)

Personnel Hong Kong SFC License Details (ID 89109)

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	2019-12-03	2019-12-07
	Rep	Dealing in securities	2019-10-14	2019-10-15
	Rep	Dealing in securities	2019-04-16	2019-04-23
	Rep	Dealing in securities	2018-06-25	2018-09-24
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2016-07-19
	Rep	Dealing in futures contracts	2010-12-06	2016-07-19
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-06-17	2013-07-24
	Rep	Dealing in securities	2010-06-17	2016-07-19
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-06-17	2010-12-06
	Rep	Dealing in futures contracts	2010-06-17	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2010-06-17	2016-07-19
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2009-06-25	2010-04-20
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2009-06-25	2010-04-20