Personnel SFC Licences and HKMA Registrations (ID 69532)

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	RO	Advising on corporate finance	2016-11-30	-
	RO	Dealing in securities	2016-11-30	-
	Rep	Advising on corporate finance	2011-08-29	2016-11-30
	Rep	Dealing in securities	2011-08-29	2016-11-30
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2008-10-06	2011-05-25
Merrill Lynch Far East Limited	Rep	Advising on securities	2008-10-06	2011-05-25
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2008-09-18	2011-05-25
	Rep	Dealing in securities	2008-09-18	2011-05-25
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2008-09-18	2011-05-25
	Rep	Dealing in securities	2008-09-18	2011-05-25
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2005-06-30	2008-06-30
	Rep	Dealing in securities	2005-06-30	2008-06-30

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.