Personnel Hong Kong SFC License Details (ID 87469)

Personnel Hong Kong SFC License Details (ID 87469)

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
BARCLAYS CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2022-12-05	2024-04-22
	RO	Dealing in securities	2022-12-05	2024-04-22
	Rep	Advising on corporate finance	2020-04-09	2022-12-05
	Rep	Dealing in securities	2020-04-09	2022-12-05
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2014-11-06	2020-03-09
	Rep	Dealing in securities	2014-11-06	2020-03-09
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2013-11-07	2014-08-07
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2010-07-05	2013-07-17
	Rep	Advising on securities	2010-07-05	2013-07-17
	Rep	Dealing in securities	2010-07-05	2013-07-17
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2010-07-05	2013-07-17
	Rep	Advising on securities	2010-07-05	2013-07-17
	Rep	Dealing in securities	2010-07-05	2013-07-17
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	2006-02-01	2009-03-31
	Rep	Dealing in securities	2006-02-01	2010-05-31
Macquarie Corporate (Hong Kong) Limited	Rep	Advising on corporate finance	2006-02-01	2009-03-31