Personnel Hong Kong SFC License Details (ID 69562)

Personnel Hong Kong SFC License Details (ID 69562)

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	RO	Advising on securities	2016-12-02	2023-10-06
	RO	Dealing in securities	2016-12-02	2023-10-06
	Rep	Dealing in futures contracts	2010-04-29	2016-12-02
	Rep	Dealing in securities	2010-04-29	2016-12-02
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-16	2009-02-27
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2005-05-27	2009-02-27
Merrill Lynch Far East Limited	RO	Dealing in securities	2005-05-27	2009-02-27
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2003-10-23	2005-05-27