Personnel Hong Kong SFC License Details (ID 87368)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on securities	2017-08-28	2021-06-07
	RO	Dealing in securities	2017-08-28	2021-06-07
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2016-01-15	2022-04-06
	RO	Advising on securities	2016-01-15	2022-04-06
	RO	Providing automated trading services	2016-01-15	2022-04-06
	RO	Dealing in futures contracts	2016-01-15	2022-04-06
	RO	Dealing in securities	2016-01-15	2022-04-06
	Rep	Advising on futures contracts	2015-05-26	2016-01-15
	Rep	Advising on securities	2015-05-26	2016-01-15
	Rep	Providing automated trading services	2015-05-26	2016-01-15
	Rep	Dealing in futures contracts	2015-05-26	2016-01-15
	Rep	Dealing in securities	2015-05-26	2016-01-15
Merrill Lynch Far East Limited	RO	Providing automated trading services	2013-07-17	2014-03-03
Merrill Lynch (Asia Pacific) Limited	RO	Providing automated trading services	2011-08-02	2013-10-31
	RO	Dealing in securities	2011-08-02	2014-03-03
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2011-08-02	2014-03-03
	RO	Dealing in securities	2011-08-02	2014-03-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2009-05-18	2011-05-04
GOLDMAN SACHS (ASIA) L.L.C.	RO	Providing automated trading services	2009-03-09	2011-05-04
	RO	Dealing in securities	2008-08-11	2011-05-04
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2008-08-11	2011-05-04
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-04-07	2008-08-11
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-04-07	2008-08-11