Dominic Andrew Richards
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dominic Andrew Richards ( ), a licensed former licensee with CE reference ALZ828. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-05-20 | 2015-10-28 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2005-05-20 | 2012-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-05-20 | 2015-10-28 |