Ian James O'Sullivan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ian James O'Sullivan, a licensed former licensee with CE reference AAX447. This person has 21.6 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Maso Capital Partners Limited | Rep | Type 9 - Asset management | 2020-04-28 | 2026-06-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-05-31 | 2019-04-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-09-01 | 2019-04-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2011-09-01 | 2013-08-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2011-09-01 | 2013-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-09-01 | 2019-04-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2010-08-19 | 2011-07-27 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-27 | 2010-08-18 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-12-13 | 2008-09-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2004-12-13 | 2008-09-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2004-12-13 | 2008-09-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-07-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-07-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-07-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-07-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-07-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ian James O'Sullivan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.