Personnel Hong Kong SFC License Details (ID 87665)

Personnel Hong Kong SFC License Details (ID 87665)

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
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2016-08-01	-
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2013-08-22	2016-05-09
	Rep	Advising on securities	2013-06-14	2016-05-09
	Rep	Dealing in securities	2013-06-14	2016-05-09
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-10-31	2013-03-02
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-08	2013-03-02
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Providing automated trading services	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2013-03-02
Merrill Lynch Far East Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2005-03-23
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2005-01-25
	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Providing automated trading services	2003-04-01	2005-01-25
	Rep	Dealing in futures contracts	2003-04-01	2010-09-08