Personnel SFC Licences and HKMA Registrations (ID 87602)

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
NATIXIS ASIA LIMITED	Rep	Dealing in futures contracts	2018-07-31	-
	Rep	Dealing in securities	2018-07-31	-
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2015-09-11	2017-09-20
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2014-02-04	2015-06-06
	Rep	Advising on securities	2014-02-04	2015-06-06
	Rep	Dealing in futures contracts	2014-02-04	2015-06-06
	Rep	Dealing in securities	2013-06-19	2015-06-06
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-04-10	2013-06-09
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-20	2012-09-28
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-04-11	2012-09-28
Merrill Lynch Far East Limited	Rep	Dealing in securities	2008-04-11	2012-09-28
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-04-11	2010-08-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.