Personnel Hong Kong SFC License Details (ID 70565)

Personnel Hong Kong SFC License Details (ID 70565)

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
Capula Investment Management Asia Limited	Rep	Dealing in securities	2023-10-16	-
	Rep	Asset management	2023-10-09	-
Capstone Investment Advisors (HK) Limited	RO	Asset management	2023-07-07	2023-07-14
	Rep	Asset management	2022-07-28	2023-07-07
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2019-08-12	2022-06-30
	Rep	Dealing in securities	2019-08-12	2022-06-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-09-15	2019-05-08
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-15	2011-12-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-05-15	2019-05-08
PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS)	Rep	Dealing in securities	2008-05-15	2011-12-30
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-08-31	2008-02-07
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-08-31	2008-02-07
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-08-31	2008-02-07