Personnel Hong Kong SFC License Details (ID 87683)

Personnel Hong Kong SFC License Details (ID 87683)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2015-07-29	2017-09-29
	Rep	Advising on securities	2015-07-29	2017-09-29
	Rep	Dealing in securities	2015-07-29	2017-09-29
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2013-10-28	2014-06-03
	Rep	Dealing in securities	2013-10-28	2014-06-03
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2010-02-17	2013-08-24
	Rep	Advising on securities	2010-02-17	2013-08-24
	Rep	Dealing in securities	2010-02-17	2013-08-24
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2010-02-17	2013-08-24
	Rep	Advising on securities	2010-02-17	2013-08-24
	Rep	Dealing in securities	2010-02-17	2013-08-24