Personnel Hong Kong SFC License Details (ID 87371)

Personnel Hong Kong SFC License Details (ID 87371)

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
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2017-07-27	-
	Rep	Advising on corporate finance	2017-03-08	2017-07-27
Merrill Lynch (Asia Pacific) Limited	RO	Advising on corporate finance	2005-06-06	2016-12-01
	RO	Advising on securities	2005-06-06	2016-12-01
	RO	Dealing in securities	2005-06-06	2016-12-01
Merrill Lynch Far East Limited	RO	Advising on corporate finance	2005-06-06	2016-12-01
	RO	Advising on securities	2005-06-06	2016-12-01
	RO	Dealing in securities	2005-06-06	2016-12-01
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Providing automated trading services	2003-04-01	2005-03-23
	Rep	Advising on corporate finance	2003-04-01	2005-06-06
	Rep	Advising on securities	2003-04-01	2005-06-06
	Rep	Dealing in securities	2003-04-01	2005-06-06
Merrill Lynch Far East Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-06-06
	Rep	Advising on securities	2003-04-01	2005-06-06
	Rep	Dealing in securities	2003-04-01	2005-06-06