Personnel Hong Kong SFC License Details (ID 87779)

Personnel Hong Kong SFC License Details (ID 87779)

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 securities	2016-06-06	-
	Rep	Dealing in securities	2016-06-06	-
Jefferies Hong Kong Limited	Rep	Dealing in securities	2015-05-05	2015-12-16
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-20	2014-11-04
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-06-08	2014-11-04
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-06-08	2014-11-04
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-06-08	2010-08-20
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-11-09	2010-05-28