Personnel SFC Licences and HKMA Registrations (ID 120174)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2014-02-24	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-11-30	2007-01-01
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-11-30	2007-01-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-11-30	2007-01-01

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.