Personnel Hong Kong SFC License Details (ID 86000)

Personnel Hong Kong SFC License Details (ID 86000)

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
Vantage Capital Markets HK Limited	Rep	Dealing in futures contracts	2016-11-21	2018-04-26
	Rep	Dealing in securities	2016-11-21	2018-04-26
Sunrise Brokers (Hong Kong) Limited	Rep	Dealing in futures contracts	2013-04-10	2016-08-24
	Rep	Dealing in securities	2013-04-10	2016-08-24
LOUIS CAPITAL MARKETS (HONG KONG) LIMITED	Rep	Advising on securities	2011-02-14	2013-04-09
	Rep	Dealing in futures contracts	2010-01-18	2013-04-09
	Rep	Dealing in securities	2009-11-16	2013-04-09
T.F.S. Derivatives HK Limited	Rep	Dealing in futures contracts	2009-06-15	2009-10-20
	Rep	Dealing in securities	2009-06-15	2009-10-20
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2007-11-01	2008-12-12
	Rep	Dealing in securities	2007-11-01	2008-12-12
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-06-13	2007-09-01
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-06-13	2007-09-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-06-13	2007-09-01