Shu Wai Fan
范舒慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Wai Fan (范舒慧), a licensed former licensee with CE reference AGI517. This person has 8.1 years of SFC licence history. Total licence records on file: 9.
Information
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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 | 2007-02-02 | 2011-05-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 - Dealing in securities | 2007-02-02 | 2011-05-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2007-02-02 | 2011-05-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2003-10-17 | 2007-02-02 |
| 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 | 2007-02-02 |
| 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 | 2003-10-10 |
| 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 | 2007-02-02 |
| 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 | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-10-10 |