Personnel Hong Kong SFC License Details (ID 1907406)

Personnel Hong Kong SFC License Details (ID 1907406)

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	RO	Advising on corporate finance	2012-12-12	2017-05-25
	RO	Advising on securities	2012-12-12	2017-05-25
	RO	Dealing in securities	2012-12-12	2017-05-25
Merrill Lynch Far East Limited	RO	Advising on corporate finance	2012-12-12	2017-05-25
	RO	Advising on securities	2012-12-12	2017-05-25
	RO	Dealing in securities	2012-12-12	2017-05-25
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2012-11-07	2012-12-12
	Rep	Advising on securities	2012-11-07	2012-12-12
	Rep	Dealing in securities	2012-11-07	2012-12-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2012-11-07	2012-12-12
	Rep	Advising on securities	2012-11-07	2012-12-12
	Rep	Dealing in securities	2012-11-07	2012-12-12
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2012-06-07	2012-08-08