Colin Dennis Banfield
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Colin Dennis Banfield, a licensed Responsible Officer with CE reference ADW089. Currently licensed at 1 firm(s): Citigroup Global Markets Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 22.9 years of SFC licence history. Total licence records on file: 20.
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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 |
RO | Type 1 - Dealing in securities | 2011-12-02 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-12-02 | present |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2010-06-21 | 2012-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-06-21 | 2011-12-02 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-06-21 | 2011-12-02 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2009-05-12 | 2010-03-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2009-05-12 | 2010-03-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-05-12 | 2010-03-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-10-10 | 2009-05-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-10-10 | 2009-05-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 4 - Advising on securities | 2007-10-16 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 6 - Advising on corporate finance | 2007-10-16 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2007-09-13 | 2007-10-16 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-09-13 | 2007-10-16 |
| Aberdeen International Investment Management Limited | RO | Type 4 - Advising on securities | 2006-04-25 | 2007-03-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2005-12-02 | 2007-07-16 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2005-12-02 | 2007-07-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2003-07-17 | 2007-07-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2003-07-17 | 2007-07-16 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2007-07-16 |
Worked alongside
The 9 closest colleagues, strongest tie first — individuals licensed at the same firm as Colin Dennis Banfield during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.