Personnel SFC Licences and HKMA Registrations (ID 2659030)

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	Dealing in securities	2024-06-20	-
	Rep	Dealing in securities	2021-11-11	2022-02-25
	Rep	Dealing in securities	2019-10-15	2020-06-15
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2019-10-15	-
	Rep	Dealing in securities	2019-10-15	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on futures contracts	2018-01-16	2019-06-29
	Rep	Advising on securities	2016-11-15	2019-06-29
	Rep	Dealing in futures contracts	2016-11-15	2019-06-29
	Rep	Dealing in securities	2016-11-15	2019-06-29

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.