Personnel Hong Kong SFC License Details (ID 107629)

Personnel Hong Kong SFC License Details (ID 107629)

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	Dealing in securities	2009-06-16	2011-02-15
Merrill Lynch Far East Limited	Rep	Dealing in securities	2009-06-16	2011-02-15
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-06-16	2010-12-20
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2008-05-20	2009-06-16
Merrill Lynch Far East Limited	RO	Dealing in securities	2008-05-20	2009-06-16
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2008-05-20	2009-06-16
	Rep	Dealing in futures contracts	2006-11-07	2008-05-20
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-11-03	2008-05-20
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-11-03	2008-05-20
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2006-09-05
	Rep	Dealing in securities	-	2006-09-05