Personnel Hong Kong SFC License Details (ID 87491)

Personnel Hong Kong SFC License Details (ID 87491)

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
CAIIS Limited	Rep	Advising on securities	2016-06-22	2016-07-18
	Rep	Dealing in securities	2016-06-22	2016-07-18
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2014-10-20	2015-10-13
	Rep	Advising on securities	2014-10-20	2015-10-13
	Rep	Dealing in futures contracts	2014-10-20	2015-10-13
	Rep	Dealing in securities	2014-10-20	2015-10-13
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-11-10	2013-11-09
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-10	2013-11-09
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-12	2010-09-10
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2003-10-21
	Rep	Advising on securities	-	2003-10-21
	Rep	Asset management	-	2003-10-21
	Rep	Providing automated trading services	-	2003-10-21
	Rep	Dealing in securities	-	2013-11-09
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	-	2003-10-21
	Rep	Advising on securities	-	2003-10-21
	Rep	Asset management	-	2003-10-21
	Rep	Dealing in securities	-	2003-10-21