Personnel Hong Kong SFC License Details (ID 75598)

Personnel Hong Kong SFC License Details (ID 75598)

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 Far East Limited	Rep	Dealing in futures contracts	2021-09-13	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2021-08-16	-
Merrill Lynch Far East Limited	Rep	Dealing in securities	2021-08-16	-
CLSA LIMITED	Rep	Dealing in securities	2016-07-20	2021-05-04
Morgan Stanley Asia Limited	Rep	Dealing in securities	2014-03-17	2016-04-19
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2014-03-17	2016-04-19
	Rep	Dealing in futures contracts	2014-03-17	2016-04-19
	Rep	Dealing in securities	2014-03-17	2016-04-19
CLSA LIMITED	Rep	Dealing in securities	2011-08-01	2014-01-22