Personnel Hong Kong SFC License Details (ID 69578)

Personnel Hong Kong SFC License Details (ID 69578)

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
Artisan Partners Hong Kong Limited	RO	Dealing in securities	2023-10-19	2025-05-20
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2015-04-13	2019-07-13
	Rep	Dealing in securities	2015-04-13	2019-07-13
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2013-07-15	2015-01-08
	Rep	Dealing in securities	2013-07-15	2015-01-08
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2010-08-24	2013-03-28
	Rep	Dealing in securities	2010-08-24	2013-03-28
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-16	2010-05-12
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-04-23	2010-05-12
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2004-03-16	2005-04-23
	Rep	Dealing in securities	2004-03-16	2010-05-12
Virtu ITG Hong Kong Limited	RO	Providing automated trading services	2003-05-12	2004-02-12
ITG SECURITIES (ASIA) LIMITED	RO	Advising on corporate finance	-	2003-04-25
	RO	Advising on securities	-	2003-04-25
	RO	Asset management	-	2003-04-25
	RO	Dealing in securities	-	2003-04-25
Virtu ITG Hong Kong Limited	RO	Dealing in securities	-	2004-02-12