Personnel Hong Kong SFC License Details (ID 81469)

Personnel Hong Kong SFC License Details (ID 81469)

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
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2014-09-01	2015-12-19
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2011-07-25	2014-08-01
	Rep	Dealing in securities	2011-07-25	2014-08-01
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2011-02-14	2011-04-15
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-03-12	2009-08-01
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-12-22	2009-08-01
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2006-12-19	2008-11-18
	Rep	Asset management	2006-12-19	2008-11-18
	Rep	Dealing in securities	2006-12-19	2008-11-18