Personnel Hong Kong SFC License Details (ID 1969530)

Personnel Hong Kong SFC License Details (ID 1969530)

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
Morgan Stanley Asia Limited	Rep	Advising on securities	2025-03-07	-
	Rep	Advising on securities	2024-03-15	2024-03-20
MUFG Securities Asia Limited	Rep	Dealing in securities	2018-05-17	2020-06-15
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2015-12-08	2015-12-08
	Rep	Dealing in securities	2015-12-08	2015-12-08
	Rep	Advising on securities	2015-07-27	2015-07-28
	Rep	Dealing in securities	2015-07-27	2015-07-28
	Rep	Advising on securities	2015-04-01	2015-04-02
	Rep	Dealing in securities	2015-04-01	2015-04-02
	Rep	Advising on securities	2014-10-27	2014-10-28
	Rep	Dealing in securities	2014-10-27	2014-10-28
	Rep	Advising on securities	2014-06-04	2014-06-05
	Rep	Dealing in securities	2014-06-04	2014-06-05
	Rep	Advising on securities	2013-10-09	2013-10-11
	Rep	Dealing in securities	2013-10-09	2013-10-11
	Rep	Advising on securities	2012-10-22	2012-10-25
	Rep	Dealing in securities	2012-10-22	2012-10-25