Personnel Hong Kong SFC License Details (ID 87367)

Personnel Hong Kong SFC License Details (ID 87367)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on futures contracts	2014-02-14	2014-12-06
	Rep	Advising on securities	2014-02-14	2014-12-06
	RO	Dealing in futures contracts	2014-02-14	2014-12-06
	RO	Dealing in securities	2014-02-14	2014-12-06
	Rep	Dealing in futures contracts	2013-08-26	2014-02-14
	Rep	Dealing in securities	2013-08-26	2014-02-14
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2010-08-27	2013-05-25
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2010-08-06	2013-05-25
Merrill Lynch Far East Limited	RO	Dealing in securities	2010-08-06	2013-05-25
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2010-08-06	2010-12-31
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-08-19	2010-08-06
Merrill Lynch Far East Limited	Rep	Dealing in securities	2008-08-19	2010-08-06
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-08-19	2010-08-06
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2004-02-01
	Rep	Advising on securities	-	2004-02-01
	Rep	Asset management	-	2004-02-01
	Rep	Providing automated trading services	-	2004-02-01
	Rep	Dealing in securities	-	2004-02-01