Personnel Hong Kong SFC License Details (ID 87521)

Personnel Hong Kong SFC License Details (ID 87521)

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
Citigroup Global Markets Asia Limited	RO	Advising on corporate finance	2024-04-16	-
	RO	Dealing in securities	2024-04-16	-
	Rep	Advising on corporate finance	2015-09-09	2024-04-16
	Rep	Dealing in securities	2015-09-09	2024-04-16
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2007-06-21	2015-06-08
Merrill Lynch Far East Limited	Rep	Advising on securities	2007-06-21	2015-06-08
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-05-22	2015-06-08
	Rep	Dealing in securities	2007-05-22	2015-06-08
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-05-22	2015-06-08
	Rep	Dealing in securities	2007-05-22	2015-06-08
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2006-03-27	2007-05-21
	Rep	Dealing in securities	2006-03-27	2007-05-21
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2005-04-27	2006-02-28
	Rep	Advising on securities	2005-04-27	2006-02-28
	Rep	Dealing in securities	2005-04-27	2006-02-28