James Alistair Fok
霍炳光
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Alistair Fok (霍炳光), a licensed former licensee with CE reference AQQ510. Total licence records on file: 6.
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 | 2009-02-05 | 2011-12-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2009-02-05 | 2011-12-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-02-05 | 2011-12-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-10 | 2008-12-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-03-10 | 2008-12-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-03-10 | 2008-12-10 |