Personnel Hong Kong SFC License Details (ID 126613)

Personnel Hong Kong SFC License Details (ID 126613)

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
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2021-10-19	2021-12-03
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2021-10-05	2021-12-03
	Rep	Dealing in securities	2021-10-05	2021-12-03
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2021-10-05	2021-12-03
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-06-10	2021-05-28
	Rep	Advising on securities	2019-06-10	2021-05-28
	Rep	Dealing in futures contracts	2019-06-10	2021-05-28
	Rep	Dealing in securities	2019-06-10	2021-05-28
MARSHALL WACE ASIA LIMITED	Rep	Asset management	2015-06-17	2016-10-28
	Rep	Dealing in securities	2015-06-17	2016-10-28
Merrill Lynch Far East Limited	Rep	Providing automated trading services	2013-08-20	2014-04-01
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2012-12-14	2013-09-23
	Rep	Dealing in securities	2012-12-14	2014-04-01
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-12-14	2014-04-01
	Rep	Dealing in securities	2012-12-14	2014-04-01
CLSA LIMITED	Rep	Dealing in securities	2008-09-10	2009-11-10