Personnel Hong Kong SFC License Details (ID 87680)

Personnel Hong Kong SFC License Details (ID 87680)

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
Macquarie Asia Securities Limited	RO	Dealing in securities	2023-02-07	-
MACQUARIE CAPITAL LIMITED	RO	Dealing in securities	2023-02-07	-
	RO	Providing automated trading services	2023-02-07	2026-08-27
Macquarie Asia Securities Limited	Rep	Dealing in securities	2022-05-23	2023-02-07
MACQUARIE CAPITAL LIMITED	Rep	Providing automated trading services	2022-05-23	2023-02-07
	Rep	Dealing in securities	2022-05-23	2023-02-07
LEGAL &AMP; GENERAL INVESTMENT MANAGEMENT ASIA LIMITED	Rep	Dealing in futures contracts	2022-01-05	2022-05-13
	Rep	Dealing in securities	2022-01-05	2022-05-13
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2019-04-18	2021-02-23
Merrill Lynch Far East Limited	RO	Dealing in securities	2019-04-18	2021-02-23
	Rep	Providing automated trading services	2013-09-06	2018-11-01
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2011-12-01	2013-09-23
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-26	2021-02-23
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-08-02	2019-04-18
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-08-02	2019-04-18
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-08-02	2010-08-26
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-05-02	2010-06-04
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2003-11-21	2010-06-04