Personnel Hong Kong SFC License Details (ID 111378)

Personnel Hong Kong SFC License Details (ID 111378)

关键资料证监会牌照公开纪律行动

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没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
Citigroup Global Markets Asia Limited	RO	就机构融资提供意见	2009-06-05	2010-09-13
	RO	证券交易	2009-06-05	2010-09-13
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	证券交易	2009-06-05	2010-09-13
Citigroup Global Markets Asia Limited	Rep	就机构融资提供意见	2007-05-18	2009-06-05
	Rep	证券交易	2007-05-18	2009-06-05
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2007-05-18	2009-06-05
Credit Suisse (Hong Kong) Limited	Rep	就机构融资提供意见	2006-07-05	2007-04-16
	Rep	就证券提供意见	2006-07-05	2007-04-16
	Rep	证券交易	2006-07-05	2007-04-16
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2003-10-16	2006-06-02
Citigroup Global Markets Asia Limited	Rep	就证券提供意见	-	2003-10-10
	Rep	提供资产管理	-	2003-10-10
	Rep	提供自动化交易服务	-	2003-10-10
	Rep	就机构融资提供意见	-	2006-06-02
	Rep	证券交易	-	2006-06-02