Personnel Hong Kong SFC License Details (ID 90332)

Personnel Hong Kong SFC License Details (ID 90332)

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	Advising on securities	2026-04-08	-
	RO	Dealing in securities	2026-04-08	-
	Rep	Dealing in futures contracts	2025-08-26	-
	Rep	Dealing in securities	2025-08-26	2026-04-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on corporate finance	2023-07-03	2024-12-02
	RO	Advising on securities	2023-07-03	2025-05-26
	RO	Dealing in securities	2023-07-03	2025-05-26
	Rep	Advising on corporate finance	2020-09-08	2023-07-03
	Rep	Advising on securities	2020-09-08	2023-07-03
	Rep	Dealing in securities	2020-09-08	2023-07-03
	Rep	Advising on corporate finance	2009-08-10	2019-08-30
	Rep	Advising on securities	2009-08-10	2019-08-30
	Rep	Dealing in securities	2009-08-10	2019-08-30