Personnel Hong Kong SFC License Details (ID 104407)

Personnel Hong Kong SFC License Details (ID 104407)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2006-11-30	2010-07-15
	Rep	Advising on securities	2006-11-30	2010-07-15
	Rep	Dealing in securities	2006-11-30	2010-07-15
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2006-11-30	2010-07-15
	Rep	Advising on securities	2006-11-30	2010-07-15
	Rep	Dealing in securities	2006-11-30	2010-07-15
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2006-10-27
	Rep	Providing automated trading services	-	2003-08-22
	Rep	Advising on corporate finance	-	2006-10-27
	Rep	Advising on securities	-	2006-10-27