Personnel SFC Licences and HKMA Registrations (ID 13931751)

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
GUOTAI JUNAN CAPITAL LIMITED	Rep	Advising on corporate finance	2026-05-28	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2026-05-28	-
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2019-12-30	2025-12-23
	Rep	Dealing in securities	2019-12-30	2025-12-23
Merrill Lynch Far East Limited	Rep	Advising on securities	2019-12-30	2024-02-26
	Rep	Dealing in securities	2019-12-30	2024-02-26
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2019-12-20	2025-12-23
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2019-12-20	2024-02-26
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2018-04-18	2019-10-02

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.