Personnel Hong Kong SFC License Details (ID 87593)

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
MCM ASIA LIMITED (TRADING AS MCM PARTNERS) (	Rep	Dealing in securities	2024-08-05	-
	Rep	Advising on securities	2024-04-23	-
MCM INVESTMENT PARTNERS LIMITED (TRADING AS MCM INVESTMENT PARTNERS) (	Rep	Asset management	2024-04-23	-
SingAlliance (Hong Kong) Limited	Rep	Advising on securities	2023-06-16	2023-10-31
	Rep	Asset management	2023-06-16	2023-10-31
RBC INVESTMENT SERVICES (ASIA) LIMITED	RO	Advising on futures contracts	2015-01-21	2021-11-09
	RO	Advising on securities	2015-01-21	2021-11-09
	RO	Dealing in futures contracts	2015-01-21	2021-11-09
	RO	Dealing in securities	2015-01-21	2021-11-09
	Rep	Advising on futures contracts	2014-08-27	2015-01-21
	Rep	Advising on securities	2014-08-27	2015-01-21
	Rep	Dealing in futures contracts	2014-08-27	2015-01-21
	Rep	Dealing in securities	2014-08-27	2015-01-21
	Rep	Asset management	2014-08-27	2015-02-13
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-12-06	2013-07-13
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-10	2013-07-13
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-10	2010-09-10
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2003-04-01	2003-11-12
	Rep	Advising on securities	2003-04-01	2003-11-12
	Rep	Asset management	2003-04-01	2003-11-12
	Rep	Providing automated trading services	2003-04-01	2003-11-12
	Rep	Dealing in securities	2003-04-01	2013-07-13
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2003-04-01	2003-11-12
	Rep	Advising on securities	2003-04-01	2003-11-12
	Rep	Asset management	2003-04-01	2003-11-12
	Rep	Dealing in securities	2003-04-01	2003-11-12