Personnel Hong Kong SFC License Details (ID 87376)

Personnel Hong Kong SFC License Details (ID 87376)

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	RO	Advising on securities	2011-10-18	2013-11-09
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2010-08-20	2013-11-09
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2010-03-03	2013-11-09
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2010-03-03	2010-12-31
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2009-12-30	2010-03-03
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-12-30	2010-03-03
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Dealing in securities	2003-10-15	2008-07-12
Citigroup Global Markets Asia Limited	RO	Advising on corporate finance	-	2003-10-08
	RO	Advising on securities	-	2003-10-08
	RO	Asset management	-	2003-10-08
	RO	Providing automated trading services	-	2003-10-08
	RO	Dealing in securities	-	2008-07-12
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	Advising on futures contracts	-	2003-10-08
	RO	Asset management	-	2003-10-08
	RO	Dealing in futures contracts	-	2008-07-12