Personnel Hong Kong SFC License Details (ID 86229)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2022-07-26	-
	Rep	Dealing in securities	2022-07-26	-
Macquarie Asia Securities Limited	Rep	Dealing in securities	2020-09-30	2022-03-25
MACQUARIE CAPITAL LIMITED	Rep	Providing automated trading services	2017-07-07	2022-03-25
	Rep	Providing automated trading services	2016-03-03	2016-04-25
	Rep	Dealing in securities	2016-03-03	2022-03-25
	RO	Dealing in securities	2014-03-27	2016-03-03
	RO	Providing automated trading services	2013-07-09	2016-03-03
	Rep	Dealing in securities	2010-07-30	2014-03-27
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2007-10-25	2010-04-19
	Rep	Advising on securities	2007-10-25	2010-04-19
	Rep	Dealing in futures contracts	2007-10-05	2010-04-19
	Rep	Dealing in securities	2007-10-05	2010-04-19
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-12-14	2007-04-14
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-08-16	2007-04-14
	Rep	Dealing in securities	2006-08-16	2007-04-14
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-04-18	2006-07-15
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-04-18	2006-07-15
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-04-18	2006-07-15
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2005-07-06	2006-03-14
	Rep	Dealing in futures contracts	2005-07-06	2006-03-14
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2004-08-12	2006-03-14
	Rep	Dealing in securities	2004-08-12	2006-03-14