Personnel Hong Kong SFC License Details (ID 103711)

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
Leonteq Securities (Hong Kong) Limited	Rep	Advising on securities	2025-07-07	2025-08-31
	Rep	Dealing in securities	2025-07-07	2025-08-31
	RO	Advising on securities	2022-01-26	2025-07-07
	RO	Dealing in securities	2022-01-26	2025-07-07
	Rep	Advising on securities	2021-12-20	2022-01-26
	Rep	Dealing in securities	2021-12-20	2022-01-26
JUPITER ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	RO	Advising on securities	2019-02-27	2020-07-01
	RO	Dealing in securities	2019-02-27	2020-07-01
	Rep	Advising on securities	2018-12-20	2019-02-27
	Rep	Dealing in securities	2018-12-20	2019-02-27
Wells Fargo Securities Asia Limited	RO	Advising on securities	2016-04-13	2018-11-01
	RO	Asset management	2016-04-13	2018-11-01
	RO	Dealing in securities	2016-04-13	2018-11-01
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2014-03-10	2015-04-01
	Rep	Advising on securities	2014-03-10	2015-04-01
	Rep	Dealing in securities	2014-03-10	2015-04-01
BEAR STEARNS ASIA LIMITED	RO	Dealing in securities	2006-02-22	2008-05-30
	Rep	Dealing in futures contracts	2006-01-16	2008-04-09
	Rep	Dealing in securities	2005-03-22	2006-02-22
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2005-01-20
	Rep	Advising on securities	-	2005-01-20
	Rep	Asset management	-	2005-01-20
	Rep	Providing automated trading services	-	2005-01-20
	Rep	Dealing in securities	-	2005-01-20
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2005-01-20
	Rep	Asset management	-	2005-01-20
	Rep	Providing automated trading services	-	2005-01-20
	Rep	Dealing in futures contracts	-	2005-01-20