Ni Zhen
甄旎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ni Zhen (甄旎), a licensed former licensee with CE reference AMM319. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-26 | 2018-05-27 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-26 | 2018-05-27 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
Rep | Type 9 — Asset management | 2017-06-26 | 2018-05-27 |
| Haitong International Research Limited 海通國際研究有限公司 |
Rep | Type 4 — Advising on securities | 2014-08-07 | 2015-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2007-11-23 | 2013-11-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-09-20 | 2007-09-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | 2005-09-20 | 2007-09-18 |