Personnel SFC Licences and HKMA Registrations (ID 69793)

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	Rep	Advising on corporate finance	2009-06-18	-
	Rep	Dealing in securities	2009-06-18	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-11-04	2009-03-12
Merrill Lynch Far East Limited	Rep	Dealing in securities	2008-11-04	2009-03-12
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2008-10-09	2009-03-12
	Rep	Advising on securities	2008-10-09	2009-03-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2008-10-09	2009-03-12
	Rep	Advising on securities	2008-10-09	2009-03-12
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2007-10-09	2008-09-29
	Rep	Advising on securities	2007-10-09	2008-09-29

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.