Personnel SFC Licences and HKMA Registrations (ID 71124)

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
BOCI SECURITIES LIMITED	Rep	Advising on securities	2014-07-30	-
	Rep	Dealing in securities	2010-08-19	-
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2009-11-09	2010-07-07
FOX-PITT, KELTON (ASIA) LIMITED	Rep	Dealing in securities	2009-06-22	2009-10-16
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-05-14	2008-10-21
Merrill Lynch Far East Limited	Rep	Dealing in securities	2008-05-14	2008-10-21
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-14	2008-10-21

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.