Personnel Hong Kong SFC License Details (ID 101772)

Personnel Hong Kong SFC License Details (ID 101772)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CROSBY WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2011-10-17	2012-07-20
	Rep	Asset management	2011-10-17	2012-07-20
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-20	2011-08-12
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-11-02	2011-08-12
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-11-02	2010-09-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-04-30	2007-09-24
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-04-30	2007-09-24
	Rep	Dealing in securities	2004-04-30	2007-09-24
FT Securities Limited	Rep	Advising on corporate finance	-	2004-04-27
	Rep	Advising on securities	-	2004-04-27
	Rep	Asset management	-	2004-04-27
	Rep	Dealing in securities	-	2004-04-27
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-04-27
	Rep	Asset management	-	2004-04-27
	Rep	Dealing in futures contracts	-	2004-04-27