Personnel Hong Kong SFC License Details (ID 2311235)

Personnel Hong Kong SFC License Details (ID 2311235)

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
CMB International Capital Limited	Rep	Advising on corporate finance	2022-05-13	2024-05-27
	Rep	Dealing in securities	2022-05-13	2024-05-27
ORIENT SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2019-01-29	2021-03-16
	RO	Dealing in securities	2019-01-29	2021-03-16
	Rep	Advising on securities	2018-07-25	2019-01-29
	Rep	Dealing in securities	2018-07-25	2019-01-29
Merrill Lynch (Asia Pacific) Limited	RO	Advising on corporate finance	2017-03-02	2018-03-09
	RO	Advising on securities	2017-03-02	2018-03-09
	RO	Dealing in securities	2017-03-02	2018-03-09
Merrill Lynch Far East Limited	RO	Advising on corporate finance	2017-03-02	2018-03-09
	RO	Advising on securities	2017-03-02	2018-03-09
	RO	Dealing in securities	2017-03-02	2018-03-09
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2014-08-22	2017-03-02
	Rep	Advising on securities	2014-08-22	2017-03-02
	Rep	Dealing in securities	2014-08-22	2017-03-02
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2014-08-22	2017-03-02
	Rep	Advising on securities	2014-08-22	2017-03-02
	Rep	Dealing in securities	2014-08-22	2017-03-02