Personnel Hong Kong SFC License Details (ID 70545)

Personnel Hong Kong SFC License Details (ID 70545)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2022-01-04	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2022-01-04	-
	Rep	Dealing in securities	2022-01-04	-
BARCLAYS CAPITAL ASIA LIMITED	RO	Dealing in securities	2014-07-17	2016-06-29
	Rep	Dealing in securities	2014-05-21	2014-07-17
	Rep	Dealing in futures contracts	2014-05-21	2016-06-29
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-09-15	2013-09-23
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-05-19	2011-12-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2010-01-05	2013-09-23
	Rep	Dealing in securities	2009-09-10	2013-09-23
DEUTSCHE SECURITIES ASIA LIMITED	RO	Advising on securities	2005-05-27	2009-02-28
	RO	Advising on corporate finance	2003-04-01	2004-01-08
	RO	Advising on securities	2003-04-01	2004-01-08
	RO	Asset management	2003-04-01	2004-01-08
	RO	Dealing in securities	2003-04-01	2009-02-28