Personnel SFC Licences and HKMA Registrations (ID 77431)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2026-03-16	-
	Rep	Dealing in securities	2026-03-16	-
Jefferies Hong Kong Limited	Rep	Dealing in securities	2025-11-27	2025-11-28
	RO	Dealing in securities	2024-05-29	2025-11-27
	Rep	Dealing in securities	2021-11-09	2024-05-29
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2014-04-14	2021-07-19
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2014-04-14	2021-07-19
	Rep	Dealing in securities	2014-04-14	2021-07-19
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2010-08-27	2012-07-19
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-06-15	2012-07-19
	Rep	Dealing in futures contracts	2010-06-15	2012-07-19
	Rep	Dealing in securities	2010-06-15	2012-07-19

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.