Personnel SFC Licences and HKMA Registrations (ID 83726)

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	2022-06-07	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2022-06-07	-
	Rep	Dealing in securities	2022-06-07	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2015-07-02	2016-10-04
	Rep	Dealing in securities	2015-07-02	2016-10-04
	Rep	Advising on futures contracts	2015-07-02	2022-03-11
	Rep	Dealing in futures contracts	2015-07-02	2022-03-11
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-09-03	2015-06-06
	Rep	Dealing in securities	2012-09-03	2015-06-06
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-09-03	2013-04-23
	Rep	Dealing in securities	2012-09-03	2013-04-23
IMC Asia Pacific Limited	Rep	Dealing in futures contracts	2008-10-20	2012-05-28
	Rep	Dealing in securities	2008-10-20	2012-05-28

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.