Personnel SFC Licences and HKMA Registrations (ID 84258)

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	Dealing in securities	2022-01-25	-
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2022-01-25	-
	RO	Dealing in securities	2022-01-25	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2021-07-22	2022-01-25
Merrill Lynch Far East Limited	Rep	Dealing in securities	2021-07-22	2022-01-25
	Rep	Dealing in futures contracts	2021-07-02	2022-01-25
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-10-15	2021-03-15
	Rep	Dealing in futures contracts	2019-10-15	2021-03-15
	RO	Advising on securities	2015-11-25	2016-11-09
	RO	Dealing in securities	2015-11-25	2016-11-09
	RO	Advising on futures contracts	2015-11-25	2019-10-15
	RO	Dealing in futures contracts	2015-11-25	2019-10-15
	Rep	Advising on futures contracts	2005-05-26	2015-11-25
	Rep	Advising on securities	2005-05-26	2015-11-25
	Rep	Dealing in futures contracts	2005-05-26	2015-11-25
	Rep	Dealing in securities	2005-05-26	2015-11-25

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.