Personnel Hong Kong SFC License Details (ID 70473)

Personnel Hong Kong SFC License Details (ID 70473)

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
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2026-07-17	-
	Rep	Advising on securities	2026-07-17	-
	Rep	Dealing in securities	2026-07-17	-
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2015-11-02	2026-03-05
	Rep	Advising on securities	2015-11-02	2026-03-05
	Rep	Dealing in securities	2015-11-02	2026-03-05
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2015-11-02	2024-03-11
	Rep	Advising on securities	2015-11-02	2024-03-11
	Rep	Dealing in securities	2015-11-02	2024-03-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2013-03-28	2015-08-14
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2010-12-07	2015-08-14
	Rep	Dealing in securities	2010-12-07	2015-08-14
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2010-12-07	2015-08-14
Morgan Stanley Asia Limited	Rep	Dealing in securities	2007-10-02	2010-06-07
	Rep	Advising on corporate finance	2007-09-12	2010-06-07
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2006-08-28	2007-07-20