Personnel Hong Kong SFC License Details (ID 87369)

Personnel Hong Kong SFC License Details (ID 87369)

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
Carret Private Capital Limited	Rep	Advising on securities	2018-05-14	2019-04-15
	Rep	Asset management	2018-05-14	2019-04-15
	Rep	Dealing in securities	2018-05-14	2019-04-15
QL Asset Management Company Limited	RO	Advising on securities	2014-10-06	2018-04-30
	RO	Asset management	2014-10-06	2018-04-30
	RO	Dealing in securities	2014-10-06	2018-04-30
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2010-08-20	2012-05-02
Merrill Lynch (Asia Pacific) Limited	RO	Advising on securities	2010-05-18	2012-05-02
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2005-12-21	2010-12-31
Merrill Lynch (Asia Pacific) Limited	RO	Advising on corporate finance	-	2005-01-25
	RO	Advising on securities	-	2005-01-25
	RO	Asset management	-	2005-01-25
	RO	Providing automated trading services	-	2005-01-25
	RO	Dealing in securities	-	2012-05-02