Personnel Hong Kong SFC License Details (ID 2499424)

Personnel Hong Kong SFC License Details (ID 2499424)

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	Rep	Advising on corporate finance	2021-07-28	2023-03-02
	Rep	Advising on securities	2021-07-28	2023-03-02
	Rep	Dealing in securities	2021-07-28	2023-03-02
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2021-07-28	2023-03-02
	Rep	Advising on securities	2021-07-28	2023-03-02
	Rep	Dealing in securities	2021-07-28	2023-03-02
CITIC Securities (Hong Kong) Limited	Rep	Advising on securities	2021-01-21	2021-06-18
CLSA LIMITED	Rep	Advising on securities	2021-01-21	2021-06-18
	Rep	Dealing in securities	2021-01-21	2021-06-18
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2020-12-09	2021-06-18
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2018-10-05	2020-11-06
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2015-11-11	2018-09-07