Personnel Hong Kong SFC License Details (ID 89853)

Personnel Hong Kong SFC License Details (ID 89853)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2007-06-11	2013-09-27
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2005-04-15	2007-04-10
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-04-15	2007-04-10
	Rep	Dealing in securities	2005-04-15	2007-04-10
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-03-09	2004-05-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2003-06-05
	Rep	Advising on securities	-	2003-06-05
	Rep	Asset management	-	2003-06-05
	Rep	Dealing in securities	-	2003-06-05