Personnel Hong Kong SFC License Details (ID 78533)

Personnel Hong Kong SFC License Details (ID 78533)

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	Rep	Dealing in securities	2021-07-28	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2021-07-28	-
	Rep	Dealing in securities	2021-07-28	-
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2020-04-21	2020-09-30
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-04-21	2020-09-30
Morgan Stanley Asia Limited	Rep	Dealing in securities	2015-08-17	2019-12-10
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2015-08-17	2019-12-10
	Rep	Dealing in futures contracts	2015-08-17	2019-12-10
	Rep	Dealing in securities	2015-08-17	2019-12-10
BFAM Partners (Hong Kong) Limited	Rep	Asset management	2013-08-19	2015-06-30
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-01-04	2012-09-29
	Rep	Dealing in securities	2011-01-04	2012-09-29