Personnel Hong Kong SFC License Details (ID 126632)

Personnel Hong Kong SFC License Details (ID 126632)

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	Rep	Advising on securities	2015-04-21	2015-04-22
	Rep	Dealing in securities	2015-04-21	2015-04-22
	Rep	Advising on securities	2014-10-06	2014-10-10
	Rep	Dealing in securities	2014-10-06	2014-10-10
	Rep	Advising on securities	2014-03-10	2014-03-11
	Rep	Dealing in securities	2014-03-10	2014-03-11
	Rep	Advising on securities	2013-10-23	2013-10-24
	Rep	Dealing in securities	2013-10-23	2013-10-24
	Rep	Advising on securities	2013-04-02	2013-04-03
	Rep	Dealing in securities	2013-04-02	2013-04-03
	Rep	Advising on securities	2012-10-22	2012-10-25
	Rep	Dealing in securities	2012-10-22	2012-10-25
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2008-09-12	2011-03-11