Personnel Hong Kong SFC License Details (ID 93362)

Personnel Hong Kong SFC License Details (ID 93362)

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 futures contracts	2021-09-30	-
	Rep	Providing automated trading services	2021-08-13	-
	Rep	Dealing in securities	2021-08-13	-
Macquarie Asia Securities Limited	Rep	Dealing in securities	2020-09-30	2021-07-16
MACQUARIE CAPITAL LIMITED	RO	Providing automated trading services	2014-10-06	2021-07-16
	RO	Dealing in securities	2014-10-06	2021-07-16
	Rep	Providing automated trading services	2013-07-25	2014-10-06
	Rep	Dealing in securities	2013-01-14	2014-10-06
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2012-07-03	2012-11-16
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2009-09-04	2012-06-30
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2006-08-28	2009-07-23
	Rep	Advising on securities	2006-08-28	2009-07-23
	Rep	Dealing in futures contracts	2006-08-28	2009-07-23
	Rep	Dealing in securities	2006-08-09	2009-07-23
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2004-05-15	2006-07-06
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2003-12-15	2004-04-01