Personnel Hong Kong SFC License Details (ID 69886)

Personnel Hong Kong SFC License Details (ID 69886)

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
NATIXIS ASIA LIMITED	Rep	Advising on securities	2016-09-14	2017-04-24
	Rep	Dealing in securities	2016-09-14	2017-04-24
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2011-01-26	2016-01-21
	Rep	Dealing in securities	2011-01-26	2016-01-21
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2010-06-21	2010-12-07
	Rep	Advising on securities	2010-06-21	2010-12-07
	Rep	Dealing in securities	2010-06-21	2010-12-07
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-07-12	2009-06-15
	Rep	Advising on securities	2007-07-12	2009-06-15
	Rep	Dealing in securities	2007-07-12	2009-06-15
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-07-12	2009-06-15
	Rep	Advising on securities	2007-07-12	2009-06-15
	Rep	Dealing in securities	2007-07-12	2009-06-15