Kim, James Jung-Beck
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 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2003-10-15 | Rep | Advising on securities | 2003-10-15 | Rep | Asset management | 2003-10-15 | Rep | Automated trading services | 2003-10-15 | Rep | Dealing in securities | 2006-03-20 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Advising on futures contracts | 2003-10-13 | Rep | Asset management | 2003-10-13 | Rep | Dealing in futures contracts | 2006-03-20 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2006-05-08 | 2008-01-08 |
| 4 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2006-05-08 | 2008-01-08 |
| 5 | Lion Global Financial Limited | Rep | Asset management | 2013-08-05 | 2016-08-05 | Rep | Dealing in securities | 2013-08-05 | 2018-04-04 | Rep | Advising on securities | 2015-02-09 | 2018-04-04 | RO | Asset management | 2016-08-05 | 2018-04-04 |
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