Personnel Hong Kong SFC License Details (ID 87422)

Personnel Hong Kong SFC License Details (ID 87422)

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 futures contracts	2020-05-29	2023-03-31
	RO	Dealing in securities	2016-11-18	2018-10-02
	RO	Advising on securities	2016-11-18	2023-03-31
	Rep	Advising on securities	2010-04-08	2016-11-18
	Rep	Dealing in securities	2009-04-02	2016-11-18
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2004-05-22	2008-12-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	-	2003-08-11
	Rep	Asset management	-	2003-08-11
	Rep	Advising on securities	-	2004-05-21