Personnel Hong Kong SFC License Details (ID 72318)

Personnel Hong Kong SFC License Details (ID 72318)

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
Novel Wealth Management Limited	Rep	Advising on securities	2024-10-08	-
	Rep	Asset management	2024-10-08	-
	Rep	Dealing in securities	2024-10-08	-
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2015-05-26	2017-02-06
	Rep	Advising on securities	2015-05-26	2017-02-06
	Rep	Dealing in securities	2015-05-26	2017-02-06
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2015-05-26	2017-02-06
	Rep	Advising on securities	2015-05-26	2017-02-06
	Rep	Dealing in securities	2015-05-26	2017-02-06
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2011-06-21	2013-07-09
	Rep	Dealing in securities	2011-06-21	2013-07-09