SFC bans Richard Charles Heyes, ex-RO of Citigroup Global Markets Asia Ltd, for 5 years | Statement of Disciplinary Action
SFC, 16-Sep-2025

• Orgs
  • Citigroup Global Markets Asia Limited
  • Citigroup Inc.
• People
  • Heyes, Richard Charles
  • Shaw, Philip John (SFC:ADP224)

SFC fines Citigroup Global Markets Asia Ltd HK$348.25m for serious regulatory failures over client facilitation activities | Statement of Disciplinary Action
SFC, 28-Jan-2022
We note that Benjamin Neil Valentine, former Head of Pan Asia Electronic Execution and an RO, ceased to be an RO of Citi on 29-May-2021.

• Orgs
  • Citigroup Global Markets Asia Limited
  • Citigroup Inc.