Personnel Hong Kong SFC License Details (ID 87375)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2013-10-31	2014-07-08
Merrill Lynch Far East Limited	Rep	Providing automated trading services	2013-10-31	2014-07-08
	Rep	Dealing in futures contracts	2013-10-31	2014-07-08
	Rep	Dealing in securities	2013-10-31	2014-07-08
	RO	Providing automated trading services	2013-07-17	2013-10-31
Merrill Lynch (Asia Pacific) Limited	RO	Providing automated trading services	2010-10-13	2013-10-31
	RO	Dealing in securities	2010-10-13	2013-10-31
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2010-10-13	2013-10-31
	RO	Dealing in securities	2010-10-13	2013-10-31
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2010-10-13	2010-12-31
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2010-09-07	2010-10-13
	Rep	Dealing in securities	2010-09-07	2010-10-13
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-09-07	2010-10-13
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-09-07	2010-10-13
GOLDMAN SACHS (ASIA) L.L.C.	RO	Providing automated trading services	2009-02-19	2010-01-06
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on securities	2007-03-13	2009-12-21
	RO	Dealing in securities	2007-03-13	2009-12-21
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on futures contracts	2006-08-23	2010-01-06
	RO	Dealing in securities	2006-08-23	2010-03-12
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2006-08-23	2010-01-06
	RO	Dealing in futures contracts	2006-08-23	2010-01-06
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-04-24	2006-08-23