Personnel SFC Licences and HKMA Registrations (ID 1868011)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-06-10	-
	Rep	Dealing in futures contracts	2019-06-10	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2014-11-06	2019-03-01
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2014-11-06	2019-03-01
	Rep	Dealing in securities	2014-11-06	2019-03-01
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2012-03-22	2013-11-01
	Rep	Dealing in futures contracts	2012-03-22	2014-08-07
	Rep	Dealing in securities	2012-03-22	2014-08-07
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2012-03-22	2014-08-07

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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