Lin, Sunming 林孫明
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ROCKPOOL CAPITAL LIMITED | RO | Advising on securities | 2018-07-09 | 2023-02-14 | ROCKPOOL CAPITAL LIMITED | Rep | 2023-02-14 | 2024-01-03 | GLENWORTH CAPITAL LIMITED | RO | 2024-04-12 |
| 2 | ROCKPOOL CAPITAL LIMITED | RO | Asset management | 2018-07-09 | 2023-02-14 | ROCKPOOL CAPITAL LIMITED | Rep | 2023-02-14 | 2024-01-03 | GLENWORTH CAPITAL LIMITED | RO | 2024-04-12 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2012-12-24 | 2013-08-31 | Citigroup Global Markets Asia Limited | Rep | 2013-06-21 | 2014-02-27 |
| 4 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2012-12-24 | 2014-02-27 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | 2012-12-24 | 2013-08-31 | ROCKPOOL CAPITAL LIMITED | RO | 2018-07-09 | 2023-02-14 | ROCKPOOL CAPITAL LIMITED | Rep | 2023-02-14 | 2024-01-03 |
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