Personnel Hong Kong SFC License Details (ID 121203)

Personnel Hong Kong SFC License Details (ID 121203)

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	Dealing in securities	2019-02-25	2021-04-30
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2019-02-25	2021-04-30
	Rep	Dealing in securities	2019-02-25	2021-04-30
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2018-11-22
	Rep	Dealing in securities	2016-10-11	2018-11-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-10-19	2018-11-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2015-10-19	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-10-19	2016-10-10
Standard Chartered Securities (Hong Kong) Limited	Rep	Dealing in futures contracts	2014-02-04	2015-08-08
	Rep	Dealing in securities	2013-03-13	2015-08-08
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2011-11-02	2013-02-08
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-11-02	2013-02-08
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-06	2011-08-06
	Rep	Dealing in futures contracts	2008-11-06	2011-08-06
	Rep	Dealing in securities	2007-04-26	2011-08-06
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2007-04-26	2008-11-24
	Rep	Dealing in futures contracts	2007-04-26	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2007-04-26	2011-08-06