Personnel Hong Kong SFC License Details (ID 95032)

Personnel Hong Kong SFC License Details (ID 95032)

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
BlackRock Asset Management North Asia Limited	Rep	Dealing in securities	2018-04-13	2020-05-28
	Rep	Advising on securities	2018-03-26	2020-05-28
	Rep	Asset management	2018-03-26	2020-05-28
Nexus Investment Advisors Limited	RO	Advising on securities	2014-07-23	2018-02-26
	RO	Asset management	2014-05-02	2018-02-26
SPARX Asia Investment Advisors Limited	Rep	Advising on securities	2010-10-18	2014-01-31
	Rep	Asset management	2010-10-18	2014-01-31
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2004-08-23	2005-07-27
	Rep	Dealing in securities	2004-08-23	2005-07-27
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-08-23	2005-07-27
	Rep	Dealing in securities	2003-10-16	2003-10-27
Citigroup Global Markets Asia Limited	Rep	Advising on securities	-	2003-10-16
	Rep	Asset management	-	2003-10-16
	Rep	Providing automated trading services	-	2003-10-16
	Rep	Advising on corporate finance	-	2003-10-27
	Rep	Dealing in securities	-	2003-10-27