Personnel Hong Kong SFC License Details (ID 132870)

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	Dealing in securities	2026-09-18	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2026-09-18	-
	Rep	Dealing in securities	2026-09-18	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2026-05-26	2026-05-29
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2026-05-26	2026-05-29
	Rep	Dealing in securities	2026-05-26	2026-05-29
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2025-12-05	2025-12-09
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2025-12-05	2025-12-09
	Rep	Dealing in securities	2025-12-05	2025-12-09
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2025-09-05	2025-09-11
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2025-09-05	2025-09-11
	Rep	Dealing in securities	2025-09-05	2025-09-11
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2025-03-07	2025-03-12
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2025-03-07	2025-03-12
	Rep	Dealing in securities	2025-03-07	2025-03-12
	Rep	Dealing in futures contracts	2024-10-04	2024-10-09
	Rep	Dealing in securities	2024-10-04	2024-10-09
	Rep	Dealing in futures contracts	2023-06-16	2023-06-21
	Rep	Dealing in securities	2023-06-16	2023-06-21
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on futures contracts	2018-05-08	2020-06-12
	RO	Advising on securities	2018-05-08	2020-06-12
	RO	Dealing in futures contracts	2018-05-08	2020-06-12
	RO	Dealing in securities	2018-05-08	2020-06-12
	Rep	Advising on futures contracts	2018-01-15	2018-05-08
	Rep	Advising on securities	2018-01-15	2018-05-08
	Rep	Dealing in futures contracts	2018-01-15	2018-05-08
	Rep	Dealing in securities	2018-01-15	2018-05-08
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2011-10-19	2014-02-26
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2011-10-19	2013-08-31