Personnel SFC Licences and HKMA Registrations (ID 112184)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on securities	2026-02-13	-
	RO	Dealing in securities	2026-02-13	-
	Rep	Dealing in securities	2025-08-29	2026-02-13
LOMBARD ODIER (HONG KONG) LIMITED	RO	Advising on securities	2023-04-12	2024-04-05
	RO	Dealing in securities	2023-04-12	2024-04-05
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2010-08-20	2010-09-18
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2007-11-26	2010-09-18
Merrill Lynch Far East Limited	RO	Dealing in securities	2007-11-26	2010-06-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2007-11-26	2010-09-18
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2003-11-25	2007-11-26
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-11-25	2007-11-26
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2003-04-01	2003-09-12
	Rep	Advising on securities	2003-04-01	2003-09-12
	Rep	Asset management	2003-04-01	2003-09-12
	Rep	Providing automated trading services	2003-04-01	2003-09-12
	Rep	Dealing in securities	2003-04-01	2003-09-12

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.