Personnel Hong Kong SFC License Details (ID 69845)

Personnel Hong Kong SFC License Details (ID 69845)

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	Rep	Dealing in securities	2009-08-18	2013-12-02
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-05-17	2008-12-05
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2006-02-17	2007-02-06
	Rep	Dealing in securities	2006-02-17	2007-02-06
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-18	2005-07-14
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2003-11-12
	Rep	Advising on securities	-	2003-11-12
	Rep	Asset management	-	2003-11-12
	Rep	Providing automated trading services	-	2003-11-12
	Rep	Dealing in securities	-	2005-07-14
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	-	2003-11-12
	Rep	Advising on securities	-	2003-11-12
	Rep	Asset management	-	2003-11-12
	Rep	Dealing in securities	-	2003-11-12