Personnel Hong Kong SFC License Details (ID 80708)

Personnel Hong Kong SFC License Details (ID 80708)

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	Providing automated trading services	2013-08-20	2013-10-31
	RO	Dealing in securities	2013-08-20	2016-04-19
Merrill Lynch Far East Limited	RO	Providing automated trading services	2013-08-20	2016-04-19
	RO	Dealing in futures contracts	2013-08-20	2016-04-19
	RO	Dealing in securities	2013-08-20	2016-04-19
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2012-10-04	2013-08-20
	Rep	Dealing in securities	2012-10-04	2013-08-20
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-10-04	2013-08-20
	Rep	Dealing in securities	2012-10-04	2013-08-20
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in securities	2012-05-07	2012-07-04
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Providing automated trading services	2009-03-24	2012-07-04
	Rep	Dealing in securities	2008-06-30	2012-07-04
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-06-30	2012-07-04