Personnel Hong Kong SFC License Details (ID 118995)

Personnel Hong Kong SFC License Details (ID 118995)

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
TJ Investment Management (HK) Limited	RO	Advising on securities	2018-05-14	2023-04-28
	RO	Asset management	2018-05-14	2023-04-28
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-08-18	2010-05-11
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-08-18	2010-05-11
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-07-11	2008-06-21
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-07-11	2008-06-21