Personnel Hong Kong SFC License Details (ID 81003)

Personnel Hong Kong SFC License Details (ID 81003)

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	2022-09-23	2022-09-30
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2022-09-23	2022-09-30
	Rep	Dealing in securities	2022-09-23	2022-09-30
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2015-07-14	2018-12-19
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2015-07-14	2019-05-31
	RO	Dealing in securities	2015-07-14	2019-05-31
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2012-05-22	2015-07-14
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-05-22	2015-07-14
	Rep	Dealing in securities	2012-05-22	2015-07-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-08-04	2012-02-17
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2006-08-04	2012-02-17
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-08-04	2012-02-17