Personnel Hong Kong SFC License Details (ID 89144)

Personnel Hong Kong SFC License Details (ID 89144)

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
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2026-01-14	-
	Rep	Dealing in securities	2026-01-14	-
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2024-08-15	2026-01-13
	Rep	Dealing in securities	2024-08-15	2026-01-13
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2016-10-11	2024-07-26
	Rep	Dealing in securities	2016-10-11	2024-07-26
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2013-07-31	2015-12-16
	Rep	Dealing in futures contracts	2013-07-31	2015-12-16
	Rep	Dealing in securities	2013-07-31	2015-12-16
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2013-07-31	2013-08-31
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2012-05-14
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-11-22	2012-05-14
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-11-22	2010-12-06