Personnel Hong Kong SFC License Details (ID 69764)

Personnel Hong Kong SFC License Details (ID 69764)

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
T. Rowe Price Hong Kong Limited	Rep	Advising on securities	2019-06-10	-
	Rep	Asset management	2019-05-24	-
SEYON ASSET MANAGEMENT LIMITED	Rep	Asset management	2016-08-16	2019-02-18
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-04-22	2015-01-21
	Rep	Dealing in securities	2014-04-22	2015-01-21
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2011-06-13	2014-02-21
	Rep	Dealing in securities	2011-06-13	2014-02-21
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-06	2011-05-26
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2010-04-08	2011-05-26
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-08-05	2010-09-06
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-02-22	2011-05-26