Law, Stephanie Kit Wai 羅潔慧
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 | CES Commodities (HK) Limited | Rep | Advising on futures contracts | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in futures contracts | 2005-09-07 |
| 2 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2005-09-07 | |
| 3 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2006-03-23 | 2014-03-14 | Rep | Dealing in futures contracts | 2013-06-21 | 2014-03-14 | Rep | Dealing in futures contracts | 2014-09-25 | 2018-04-30 | Rep | Dealing in securities | 2014-09-25 | 2018-04-30 |
| 4 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2006-03-23 | 2013-08-31 | Rep | Dealing in securities | 2006-04-07 | 2013-08-31 |
| 5 | Everbright Securities Investment Services (HK) Limited | Rep | Automated trading services | 2003-07-07 | Rep | Advising on corporate finance | 2004-01-19 | Rep | Advising on securities | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in securities | 2005-09-07 |
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