Personnel SFC Licences and HKMA Registrations (ID 2642494)

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	2026-11-11	-
	Rep	Advising on securities	2026-11-11	-
	Rep	Dealing in securities	2026-11-11	-
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2017-09-22	2019-05-04
	Rep	Dealing in securities	2017-09-22	2019-05-04
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2016-10-07	2017-07-28
	Rep	Advising on securities	2016-10-07	2017-07-28

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.