Personnel Hong Kong SFC License Details (ID 118325)

Personnel Hong Kong SFC License Details (ID 118325)

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
Houlihan Lokey (China) Limited	Rep	Advising on corporate finance	2025-04-07	-
	Rep	Advising on securities	2025-04-07	-
	Rep	Dealing in securities	2025-04-07	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2017-08-14	2022-03-18
	Rep	Dealing in securities	2017-08-14	2022-03-18
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2012-02-03	2017-05-31
	Rep	Advising on securities	2012-02-03	2017-05-31
	Rep	Dealing in securities	2012-02-03	2017-05-31
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2006-04-21	2008-03-26
	Rep	Advising on securities	2006-04-21	2008-03-26
	Rep	Dealing in securities	2006-04-21	2008-03-26
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2006-04-21	2008-03-26
	Rep	Advising on securities	2006-04-21	2008-03-26
	Rep	Dealing in securities	2006-04-21	2008-03-26