James Jung-Beck Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Jung-Beck Kim ( ), a licensed former licensee with CE reference AEV420. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
RO | Type 9 — Asset management | 2016-08-05 | 2018-04-04 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 4 — Advising on securities | 2015-02-09 | 2018-04-04 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-05 | 2018-04-04 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 9 — Asset management | 2013-08-05 | 2016-08-05 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2006-05-08 | 2008-01-08 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-05-08 | 2008-01-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-03-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | present | 2006-03-20 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-15 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 — Advising on futures contracts | present | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-15 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 — Asset management | present | 2003-10-13 |