Personnel Hong Kong SFC License Details (ID 87648)

Personnel Hong Kong SFC License Details (ID 87648)

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
Sanford C. Bernstein (Hong Kong) Limited	RO	Dealing in securities	2016-08-11	2018-10-01
	Rep	Dealing in securities	2014-06-18	2016-08-11
	Rep	Advising on securities	2014-06-18	2018-10-01
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-20	2014-03-18
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-06-08	2014-03-18
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-06-08	2014-03-18
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-06-08	2010-08-20
ICAP Equities Asia Limited	Rep	Advising on securities	2009-01-19	2010-04-19
	Rep	Dealing in securities	2009-01-19	2010-04-19
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2006-07-31	2008-09-01