Personnel Hong Kong SFC License Details (ID 121818)

Personnel Hong Kong SFC License Details (ID 121818)

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
CAPITAL GLOBAL MANAGEMENT LIMITED	Rep	Advising on securities	2022-12-29	-
	Rep	Dealing in securities	2022-12-29	-
	Rep	Asset management	2022-08-09	-
UCAP Securities (HK) Limited	Rep	Advising on securities	2021-09-17	2022-06-30
	Rep	Asset management	2021-09-17	2022-06-30
	Rep	Dealing in securities	2021-09-17	2022-06-30
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-06-21	2007-07-12
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-06-21	2007-07-12