Personnel Hong Kong SFC License Details (ID 77140)

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 (Asia Pacific) Limited	RO	Advising on corporate finance	2015-11-30	-
	RO	Advising on securities	2015-11-30	-
	RO	Dealing in securities	2015-11-30	-
Merrill Lynch Far East Limited	RO	Advising on corporate finance	2015-11-30	2025-01-15
	RO	Advising on securities	2015-11-30	2025-01-15
	RO	Dealing in securities	2015-11-30	2025-01-15
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2015-10-12	2015-11-30
	Rep	Advising on securities	2015-10-12	2015-11-30
	Rep	Dealing in securities	2015-10-12	2015-11-30
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2015-10-12	2015-11-30
	Rep	Advising on securities	2015-10-12	2015-11-30
	Rep	Dealing in securities	2015-10-12	2015-11-30
Credit Suisse (Hong Kong) Limited	RO	Advising on corporate finance	2008-07-15	2015-08-07
	RO	Advising on securities	2008-07-15	2015-08-07
	RO	Dealing in securities	2008-07-15	2015-08-07
	Rep	Advising on securities	2008-05-29	2008-07-15
	Rep	Advising on corporate finance	2008-04-23	2008-07-15
	Rep	Dealing in securities	2008-04-23	2008-07-15
BEAR STEARNS ASIA LIMITED	RO	Advising on corporate finance	2005-07-21	2008-04-09
	RO	Dealing in securities	2005-07-21	2008-04-09
	Rep	Advising on corporate finance	2005-07-11	2005-07-21
	Rep	Dealing in securities	2005-07-11	2005-07-21
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on corporate finance	2004-07-07	2005-06-30
	RO	Dealing in securities	2004-07-07	2005-06-30
	Rep	Advising on corporate finance	2004-05-17	2004-07-07
	Rep	Dealing in securities	2004-05-17	2004-07-07
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2004-05-10	2004-05-14
	Rep	Dealing in securities	2004-05-10	2004-05-14
	RO	Advising on corporate finance	2003-04-01	2004-05-10
	RO	Dealing in securities	2003-04-01	2004-05-10