Personnel Hong Kong SFC License Details (ID 123402)

Personnel Hong Kong SFC License Details (ID 123402)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-01-03	2019-04-04
	Rep	Dealing in securities	2017-01-03	2019-04-04
Merrill Lynch Far East Limited	Rep	Providing automated trading services	2013-09-10	2016-09-29
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2012-12-11	2013-09-23
	Rep	Dealing in securities	2012-12-11	2016-09-29
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-12-11	2016-09-29
	Rep	Dealing in securities	2012-12-11	2016-09-29
CLSA LIMITED	Rep	Dealing in securities	2007-11-13	2011-05-10