Citigroup Global Markets Asia Limited is a Hong Kong SFC licensed corporation (CE number AAA137). First licensed on 2007-05-03. Its SFC licence is currently active. It is licensed for 6 regulated activities: Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2007-05-03 |
| RA 2 | Dealing in Futures Contracts | 期貨合約交易 | 2013-04-26 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2007-05-03 |
| RA 5 | Advising on Futures Contracts | 就期貨合約提供意見 | 2013-01-09 |
| RA 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2007-05-03 |
| RA 7 | Providing Automated Trading Services | 提供自動化交易服務 | 2008-03-31 |
Matched to HKEX’s published participant and trading-right lists by legal name, refreshed daily. The number in brackets is the HKEX participant ID.
| CE No. | Name | Chinese |
|---|---|---|
| ABD620 | KHOO Adrian | |
| ACT729 | CHOW Wai Ming | 周維明 |
| ADW089 | BANFIELD Colin Dennis | |
| AEW033 | LAM Wing Chung, Charles | 林穎聰 |
| AFF166 | SCHRANTZ Alexander | |
| AGG884 | PATEL Jignesh | |
| AGN915 | WERKUN Erica Poon | 潘嘉怡 |
| AKN219 | WEI Xiaopo | 魏晓坡 |
| ALI003 | BESSON Guillaume Gerard Marie | |
| AOV938 | CHOY Chak Kwan, Eric | 蔡澤群 |
| APN583 | DAGA Ashish Kumar | |
| APW340 | CHEUNG Koon Nam | 張冠楠 |
| ARN403 | TSE Wai Yee, May | 謝慧儀 |
| ATJ132 | BISWAS Shubhomoy | |
| ATM598 | WONG Tang Tang | 王騰騰 |
| ATS683 | TSAI Yeung | 蔡楊 |
| AUE958 | SHEKHAWAT Shilesh | |
| AVI388 | ROLFE Roland Christopher | |
| AVX106 | ZOLKIEWICZ Kevin John | |
| AWQ371 | ZHOU Xiaotian | 周小天 |
| AWW837 | IP Edwina Wing Lam | |
| AXZ547 | SUN Weijun | 孫維鈞 |
| AZQ393 | LIU Xinyu | 柳欣宇 |
| BBU535 | RIYAT Gursev Singh | |
| BBY949 | TANG Vivian | 鄧慧雲 |
| BDV095 | CHEN Yuyuan | 陳宇緣 |
| BFG548 | CHAUHAN Suninder Singh | |
| BFL567 | SERAFINO Mario John | |
| BFV916 | WEN Hao | 文豪 |
| BHV033 | RICHARDSON Angus Mckenzie | |
| BIG336 | YUEN Yan Chi | 袁恩賜 |
| BJL206 | STEWART Robert James | |
| BMW865 | SOROKA Anthony Thomas Doan | |
| BQD218 | GUO Ting | 郭婷 |
| BUI559 | WHITTAKER Ross Andrew | |
| BUO236 | KOBATA Tetsuaki | |
| BUW348 | SMITH Paul Matthew | |
| BWZ086 | BARNES William Wesley |
| CE No. | Name | Chinese |
|---|---|---|
| ACR650 | CHENG Kit Yee, Cindy | 鄭潔儀 |
| ACR744 | MCQUEEN Lee Michael | |
| ACT680 | MCCONNELL David Patrick Anthony | |
| AEC937 | LAU Tak Hung | 劉德雄 |
| AEF574 | PANG Ka Yin | 彭嘉賢 |
| AFC401 | WONG Lai Man | 王麗雯 |
| AFF002 | O Scott C | |
| AFF166 | SCHRANTZ Alexander | |
| AFS532 | LAM Wai Leung | 林偉亮 |
| AGC134 | LAU Hin Tat | 劉顯達 |
| AGH180 | YEE Ho Ming | 余浩銘 |
| AGH270 | CHUA Johanna Dee | |
| AGN757 | YUAN Zhengyi | 袁崢怡 |
| AGP654 | LUI Chi Ngan Adrienne | 雷智顏 |
| AHC475 | APABHAI Mohammed Zuned | |
| AHI788 | WIJAYA Annie | |
| AJC638 | MISHRA Pracheesh | |
| AJF371 | AU Tin Wai | 區天偉 |
| AJG915 | TANG Hing Chi, William | 鄧慶志 |
| AKO805 | LEE Ho-yin, Eugene | 李浩然 |
| ALF606 | HAGUE Claire Elizabeth Logan | |
| ALI450 | ZHANG Ling | 張凌 |
| ALO316 | FENG Dandan | 馮丹丹 |
| ALZ346 | SEKHRI Ashish Kumar | |
| AMF088 | CHOI Shui Lung | 蔡瑞隆 |
| AMJ189 | CHEN Kai Yun | 陳凱筠 |
| AMJ493 | CHAVALI Vikram | |
| AMN548 | SAHA Prosenjit | |
| AMO548 | PU Jennifer | 蒲心怡 |
| AMX199 | ZHANG Zhuojia | 張卓佳 |
| ANB116 | TSUI Hon Man, Herman | 徐漢民 |
| ANG546 | CHENG Christopher Chi Yung | 鄭智勇 |
| ANH756 | YEUNG Hin Sheun, Vincent | 楊軒舜 |
| ANJ759 | YAP Yik Wah, Alicia | |
| ANQ177 | AU Vincent Che Tim | 歐智添 |
| ANT815 | ZHU Liping | 朱力平 |
| AOC907 | MEHTA Hashween Antonio | |
| AOD944 | AU Pok Ho, Jeffrey | 區博濠 |
| AOX947 | SHOEN Esben Leonard Berg | |
| AOY970 | ZHANG Jin | 張瑾 |
| APB677 | LAW Oliver Tin-Loong | 羅天龍 |
| APC555 | SHEN Qiqi Gigi | 沈琦琦 |
| APD046 | KUMAR Ankit | |
| APL235 | TAN Choon Lang | 陳俊嶺 |
| APL741 | PANG Chi Fung | 彭志峰 |
| APN583 | DAGA Ashish Kumar | |
| APP568 | LAU Keith Koon Wai | 劉冠緯 |
| APP903 | LEUNG Wing Ki | 梁詠琪 |
| APQ667 | CHUNG Ming | 叢明 |
| APR851 | LO Wing | 盧永 |
| AQC813 | CHAN Tsz Haang | 陳子桁 |
| AQE634 | FRANJOU Lionel Claude Pascal | |
| AQK248 | YANG Yun-Chen | 楊昀蓁 |
| AQM545 | KWON Ji Hoon | 權志勳 |
| AQW035 | CARLSEN Nicholas James | |
| ARF362 | TSANG Chi Yan, Davy | 曾子殷 |
| ARG548 | LEE Ka Sin | 李嘉善 |
| ARG947 | KHOUEIRI Elie | |
| ARP573 | USSANI Riccardo | |
| ASF706 | TAN Ho Wa | 陳灝樺 |
| ASP246 | QIAN Yewen | 錢叶文 |
| AST362 | WONG Jackie Kin Fung | 黃建峰 |
| ASU036 | CHUA Yi Zhi Maria | 蔡依芝 |
| ASY745 | WAI Ho Yan | 衛可欣 |
| ATD879 | MAO Wei | 毛威 |
| ATF095 | DERBYSHIRE David Neil | |
| ATH183 | BRUCHET David Dominique Nicolas | |
| ATJ132 | BISWAS Shubhomoy | |
| ATS683 | TSAI Yeung | 蔡楊 |
| ATX274 | LI Ye | 李燁 |
| AUA255 | LI Lei | 李蕾 |
| AUB763 | CHAN Chun Yue | 陳震宇 |
| AUB778 | YUNG Muk Tsz | 翁木子 |
| AUE958 | SHEKHAWAT Shilesh | |
| AUF165 | BOAS Michael Joel | |
| AUN714 | TAO Feiran | 陶斐然 |
| AUV531 | WONG Annie Yan Tsz | 黃欣慈 |
| AUZ153 | SHARMA Mrinal | |
| AVJ019 | MONARD Thomas Nicolas | |
| AVL430 | LEE Sung Min | |
| AVM233 | WONG Hiu King | 王曉琼 |
| AVX106 | ZOLKIEWICZ Kevin John | |
| AVY498 | CHENG Victor Shing Chung | 鄭承宗 |
| AWC264 | CHEN Yung-hao | 陳永豪 |
| AWI936 | ZHANG Xi | 張希 |
| AWK998 | KWONG Chin Fung | 鄺展鋒 |
| AWO082 | CHAN Chun Wai | 陳俊瑋 |
| AWQ371 | ZHOU Xiaotian | 周小天 |
| AWW455 | LEE Jason Kwan Ho | 李君豪 |
| AWW837 | IP Edwina Wing Lam | |
| AXC969 | CHUA Paul Christian Go | 蔡偉龍 |
| AXF915 | MOHATA Pankaj | |
| AXG147 | WOODCOCK Morgan Anne | |
| AXG597 | LI Zhuowei | 李卓蔚 |
| AXG850 | RAMAN Harish | |
| AXK959 | KWONG Casey | |
| AXN211 | LEW Jeffrey Kuo-I | |
| AXN232 | SHANG You | 尚游 |
| AXV530 | MCVIE Robert John | 麥菲 |
| AXY801 | WANG Sangli | 王桑黎 |