Personnel Hong Kong SFC License Details (ID 12495583)

Personnel Hong Kong SFC License Details (ID 12495583)

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	RO	Dealing in securities	2023-06-29	-
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2023-06-29	-
	RO	Dealing in securities	2023-06-29	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2022-06-20	2023-06-29
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2022-06-20	2023-06-29
	Rep	Dealing in securities	2022-06-20	2023-06-29
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2018-09-20	2020-12-14
	Rep	Dealing in securities	2018-09-20	2020-12-14
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2018-09-20	2020-12-14
	Rep	Dealing in securities	2018-09-20	2020-12-14
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2017-11-10	2018-07-23
	Rep	Dealing in securities	2017-11-10	2018-07-23