Personnel Hong Kong SFC License Details (ID 110762)

Personnel Hong Kong SFC License Details (ID 110762)

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
Ord Minnett Hong Kong Limited	RO	Advising on securities	2014-01-17	2020-03-31
	RO	Dealing in securities	2013-01-15	2020-03-31
Qantex Capital Markets Limited	Rep	Dealing in futures contracts	2011-12-28	2012-06-30
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2009-05-22	2010-11-19
	Rep	Dealing in securities	2009-05-22	2010-11-19
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-04-23	2009-01-23
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-04-13	2009-01-23
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-04-13	2009-01-23
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-12-06	2004-03-17
	Rep	Dealing in futures contracts	2003-12-06	2004-03-17
	Rep	Advising on corporate finance	-	2003-12-02
	Rep	Asset management	-	2003-12-02
	Rep	Providing automated trading services	-	2003-12-02
	Rep	Advising on securities	-	2004-03-17
	Rep	Dealing in securities	-	2004-03-17
J.P. MORGAN FUTURES HONG KONG LIMITED	Rep	Asset management	-	2003-12-03
	Rep	Providing automated trading services	-	2003-12-03
	Rep	Advising on futures contracts	-	2003-12-06
	Rep	Dealing in futures contracts	-	2003-12-06