Personnel Hong Kong SFC License Details (ID 87692)

Personnel Hong Kong SFC License Details (ID 87692)

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
Crosby Securities Limited	Rep	Advising on securities	2013-03-12	2017-10-20
	Rep	Asset management	2013-03-12	2017-10-20
	Rep	Dealing in securities	2013-03-12	2017-10-20
CROSBY WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2012-06-25	2012-09-28
	Rep	Asset management	2012-06-25	2012-09-28
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-10-24	2011-12-22
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-20	2011-12-22
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-07-14	2010-09-20
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-07-06	2011-12-22
SARASIN RABO INVESTMENT MANAGEMENT LIMITED	Rep	Advising on corporate finance	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Advising on securities	-	2005-06-22
	Rep	Dealing in securities	-	2005-06-22