Personnel SFC Licences and HKMA Registrations (ID 124681)

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
SG SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2014-07-08	-
	Rep	Dealing in securities	2014-07-08	-
	Rep	Providing automated trading services	2014-07-08	2020-05-11
Standard Chartered Securities (Hong Kong) Limited	Rep	Dealing in futures contracts	2014-02-07	2014-05-20
	Rep	Dealing in securities	2012-03-26	2014-05-20
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-06-21	2010-08-21
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-06-21	2010-08-21
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-06-21	2010-08-21
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-05-19	2010-06-19
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-05-19	2010-06-19
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-05-19	2010-06-19
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2008-03-12	2009-09-09
	Rep	Dealing in futures contracts	2008-03-12	2009-09-09
	Rep	Dealing in securities	2008-03-12	2009-09-09

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.