Personnel Hong Kong SFC License Details (ID 107374)

Personnel Hong Kong SFC License Details (ID 107374)

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	2010-11-23	2011-06-21
	Rep	Advising on securities	2010-11-23	2011-06-21
	Rep	Providing automated trading services	2010-11-23	2011-06-21
	Rep	Dealing in securities	2010-11-23	2011-06-21
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2010-11-23	2011-06-21
	Rep	Advising on securities	2010-11-23	2011-06-21
	Rep	Dealing in futures contracts	2010-11-23	2011-06-21
	Rep	Dealing in securities	2010-11-23	2011-06-21
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-06-09	2006-12-29
	Rep	Dealing in securities	2004-12-10	2006-01-11
	Rep	Advising on corporate finance	-	2004-10-12
	Rep	Advising on securities	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Dealing in securities	-	2004-10-27