Personnel Hong Kong SFC License Details (ID 69836)

Personnel Hong Kong SFC License Details (ID 69836)

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
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2015-01-20	2017-03-16
	Rep	Dealing in securities	2015-01-20	2017-03-16
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2015-01-20	2017-03-16
	Rep	Dealing in securities	2015-01-20	2017-03-16
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2013-07-15	2014-10-13
	Rep	Dealing in securities	2013-07-15	2014-10-13
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2010-08-20	2013-03-28
	Rep	Dealing in securities	2010-08-20	2013-03-28
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-16	2010-05-12
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-06-02	2010-05-12
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-06-02	2010-05-12
CLSA LIMITED	Rep	Dealing in securities	2005-05-11	2006-04-03