Personnel Hong Kong SFC License Details (ID 2543625)

Personnel Hong Kong SFC License Details (ID 2543625)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2025-07-15	-
	Rep	Dealing in securities	2025-07-15	-
	Rep	Advising on securities	2022-10-28	-
Morgan Stanley Asia Limited	Rep	Dealing in securities	2017-10-04	2022-06-07
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2017-10-04	2022-06-07
	Rep	Dealing in futures contracts	2017-10-04	2022-06-07
	Rep	Dealing in securities	2017-10-04	2022-06-07
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2016-03-07	2017-06-23
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2016-03-07	2017-06-23
	Rep	Dealing in securities	2016-03-07	2017-06-23