Personnel Hong Kong SFC License Details (ID 87589)

Personnel Hong Kong SFC License Details (ID 87589)

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
Y2 CAPITAL PARTNERS LIMITED	RO	Advising on securities	2022-05-03	-
	RO	Asset management	2022-05-03	-
	Rep	Advising on securities	2022-02-22	2022-05-03
	Rep	Asset management	2022-02-22	2022-05-03
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Dealing in futures contracts	2019-11-13	2021-07-02
	RO	Dealing in securities	2019-11-13	2021-07-02
	Rep	Dealing in futures contracts	2018-12-10	2019-11-13
	Rep	Dealing in securities	2018-12-10	2019-11-13
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2015-08-18	2018-09-06
Merrill Lynch Far East Limited	RO	Dealing in securities	2015-08-18	2018-09-06
	Rep	Dealing in futures contracts	2010-08-20	2018-09-06
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-04-16	2015-08-18
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-04-16	2015-08-18
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-04-16	2010-08-20
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2006-06-15	2007-03-19
	Rep	Dealing in securities	2004-02-09	2007-03-19