Personnel Hong Kong SFC License Details (ID 112539)

Personnel Hong Kong SFC License Details (ID 112539)

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	2007-03-05	2009-01-12
	Rep	Advising on securities	2007-03-05	2009-01-12
	Rep	Dealing in securities	2007-03-05	2009-01-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-03-05	2009-01-12
	Rep	Advising on securities	2007-03-05	2009-01-12
	Rep	Dealing in securities	2007-03-05	2009-01-12
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2006-04-06	2007-02-07
	Rep	Dealing in securities	2006-04-04	2007-02-07
CHINA INTERNATIONAL CAPITAL CORPORATION (INTERNATIONAL) LIMITED	Rep	Dealing in securities	2004-07-06	2006-04-01
	Rep	Advising on corporate finance	2003-06-07	2004-01-21
	Rep	Advising on securities	2003-06-07	2004-01-21
	Rep	Dealing in securities	2003-06-07	2004-01-21