Personnel Hong Kong SFC License Details (ID 87464)

Personnel Hong Kong SFC License Details (ID 87464)

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
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2018-09-14	2022-08-01
	Rep	Advising on securities	2018-09-14	2022-08-01
	Rep	Dealing in futures contracts	2018-09-14	2022-08-01
	Rep	Dealing in securities	2018-09-14	2022-08-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-11-08	2013-05-11
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-08	2013-05-11
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-13	2010-09-08
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2003-10-16
	Rep	Advising on securities	-	2003-10-16
	Rep	Asset management	-	2003-10-16
	Rep	Providing automated trading services	-	2003-10-16
	Rep	Dealing in securities	-	2013-05-11