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. Total licence records on file: 20.
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 | present | 2007-07-16 |