Personnel Hong Kong SFC License Details (ID 77479)

Personnel Hong Kong SFC License Details (ID 77479)

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
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2011-12-30	2012-06-22
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2011-12-30	2012-06-22
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-09-14	2012-06-22
	Rep	Dealing in securities	2010-06-11	2012-06-22
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-08-01	2009-01-09
	Rep	Advising on securities	2007-08-01	2009-01-09
	Rep	Dealing in securities	2007-08-01	2009-01-09
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-08-01	2009-01-09
	Rep	Advising on securities	2007-08-01	2009-01-09
	Rep	Dealing in securities	2007-08-01	2009-01-09