Personnel SFC Licences and HKMA Registrations (ID 2483286)

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
MARSHALL WACE ASIA LIMITED	RO	Dealing in futures contracts	2025-12-12	-
	RO	Asset management	2025-09-05	-
	RO	Dealing in securities	2025-09-05	-
	Rep	Asset management	2025-07-03	2025-09-05
	Rep	Dealing in securities	2025-07-03	2025-09-05
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2023-05-23	2025-03-14
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2021-04-15	2025-03-14
	RO	Dealing in securities	2021-04-15	2025-03-14
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2020-11-09	2023-05-23
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2020-11-09	2021-04-15
	Rep	Dealing in securities	2020-11-09	2021-04-15
UBS SECURITIES ASIA LIMITED	RO	Dealing in securities	2018-08-22	2020-07-22
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2018-08-22	2020-07-22
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2017-05-09	2018-08-22
	Rep	Dealing in futures contracts	2017-05-09	2020-07-22
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2017-05-09	2018-08-22
	Rep	Dealing in futures contracts	2017-05-09	2020-07-22
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2017-01-23	2017-01-27
	Rep	Dealing in securities	2015-10-06	2015-10-09

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.