Personnel Hong Kong SFC License Details (ID 116889)

Personnel Hong Kong SFC License Details (ID 116889)

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
BOCOM International Asset Management Limited	RO	Asset management	2010-07-05	2011-06-10
	Rep	Asset management	2010-01-22	2010-07-05
PACIFIC ALLIANCE INVESTMENT MANAGEMENT (HK) LIMITED	Rep	Asset management	2008-09-25	2008-12-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2006-12-28	2007-10-10
	Rep	Dealing in securities	2006-12-28	2007-10-10
Merrill Lynch Far East Limited	Rep	Advising on securities	2006-12-28	2007-10-10
	Rep	Dealing in securities	2006-12-28	2007-10-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2005-09-15	2006-05-27
	Rep	Advising on securities	2005-09-15	2006-05-27