Personnel SFC Licences and HKMA Registrations (ID 103220)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2023-11-03	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2019-07-18	2019-07-28
	Rep	Dealing in securities	2018-04-17	2018-04-27
	Rep	Dealing in securities	2017-06-08	2017-06-16
	Rep	Dealing in securities	2017-02-16	2017-02-24
	Rep	Dealing in securities	2016-10-20	2016-10-28
	Rep	Dealing in securities	2012-05-24	2016-05-20
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2011-06-27	2011-07-03
	Rep	Dealing in securities	2011-06-27	2011-07-03
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-11-15	2009-08-14
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-01-07	2009-08-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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