Personnel Hong Kong SFC License Details (ID 90097)

Personnel Hong Kong SFC License Details (ID 90097)

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	RO	Dealing in securities	2026-06-11	-
	RO	Dealing in futures contracts	2025-05-06	-
	Rep	Dealing in futures contracts	2017-09-05	2025-05-06
	Rep	Dealing in securities	2017-09-05	2026-06-11
De Riva Asia Limited	RO	Dealing in futures contracts	2014-02-18	2017-08-31
	RO	Dealing in securities	2014-02-18	2017-08-31
	Rep	Dealing in futures contracts	2013-10-02	2014-02-18
	Rep	Dealing in securities	2013-10-02	2014-02-18
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-10-13	2013-06-04
	Rep	Dealing in securities	2008-10-13	2013-06-04
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2008-03-17	2013-06-04
Newedge Broker Limited	Rep	Dealing in futures contracts	2007-12-20	2009-07-31
	Rep	Providing automated trading services	2007-10-23	2009-07-31
	Rep	Dealing in securities	2007-10-23	2009-07-31