Personnel Hong Kong SFC License Details (ID 74498)

Personnel Hong Kong SFC License Details (ID 74498)

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
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2013-02-05	2015-10-27
	Rep	Dealing in futures contracts	2013-02-05	2015-10-27
	Rep	Advising on securities	2012-08-09	2015-10-27
	Rep	Dealing in securities	2012-08-09	2015-10-27
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-12-22	2012-05-07
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-12-03	2012-05-07
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2009-12-03	2012-05-07
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2007-12-05	2009-11-03
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-05-03	2006-08-25
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-04-28	2006-08-25
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-04-28	2006-08-25
MIZUHO SECURITIES ASIA LIMITED	Rep	Asset management	2004-07-07	2006-04-21
	Rep	Dealing in securities	2004-07-06	2006-04-21
Newedge Broker Limited	Rep	Providing automated trading services	2004-03-22	2004-05-10
	Rep	Dealing in futures contracts	2004-03-22	2004-05-10
	Rep	Dealing in securities	2004-03-22	2004-05-10