Personnel Hong Kong SFC License Details (ID 107840)

Personnel Hong Kong SFC License Details (ID 107840)

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
TPG Capital, Limited	RO	Advising on securities	2022-12-30	2024-12-31
	RO	Dealing in securities	2022-12-30	2024-12-31
NewQuest Capital Advisors (HK) Limited	RO	Asset management	2012-03-08	2022-12-31
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-20	2011-04-15
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-23	2010-08-20
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-06-01	2011-04-15
	Rep	Advising on corporate finance	-	2003-07-01
	Rep	Advising on securities	-	2003-07-01
	Rep	Asset management	-	2003-07-01
	Rep	Providing automated trading services	-	2003-07-01
	Rep	Dealing in securities	-	2003-07-01