Mark Stephen Rosenfeld
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Stephen Rosenfeld ( ), a licensed former licensee with CE reference AFA528. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 4 — Advising on securities | 2005-09-05 | 2007-08-02 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2005-08-05 | 2005-09-05 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 4 — Advising on securities | 2005-05-24 | 2005-07-12 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-03-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-05-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-03-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2005-03-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-28 |