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. This person has 4.3 years of SFC licence history. Total licence records on file: 8.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 2005-01-28 |