Personnel Hong Kong SFC License Details (ID 68759)

Personnel Hong Kong SFC License Details (ID 68759)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2011-10-24	2012-05-18
	Rep	Dealing in securities	2011-10-24	2012-05-18
AllianceBernstein Hong Kong Limited	Rep	Advising on securities	2011-01-14	2011-10-24
	Rep	Dealing in securities	2011-01-14	2011-10-24
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2009-07-29	2010-11-29
	Rep	Advising on securities	2009-07-29	2010-11-29
	Rep	Dealing in securities	2009-07-29	2010-11-29
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2009-07-29	2010-11-29
	Rep	Advising on securities	2009-07-29	2010-11-29
	Rep	Dealing in securities	2009-07-29	2010-11-29