Personnel Hong Kong SFC License Details (ID 87851)

Personnel Hong Kong SFC License Details (ID 87851)

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
Merrill Lynch (Asia Pacific) Limited	RO	Providing automated trading services	2011-11-22	2013-04-02
	RO	Dealing in securities	2011-11-22	2013-04-02
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2011-11-22	2013-04-02
	RO	Dealing in securities	2011-11-22	2013-04-02
	Rep	Dealing in futures contracts	2010-10-13	2011-11-22
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2010-07-27	2011-11-22
	Rep	Dealing in securities	2010-07-27	2011-11-22
	Rep	Advising on corporate finance	2010-07-27	2012-01-16
	Rep	Advising on securities	2010-07-27	2012-01-16
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-07-27	2011-11-22
	Rep	Advising on corporate finance	2010-07-27	2012-01-16
	Rep	Advising on securities	2010-07-27	2012-01-16
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-07-27	2010-12-16
GOLDMAN SACHS (ASIA) L.L.C.	RO	Providing automated trading services	2009-02-19	2009-02-28
	RO	Dealing in securities	2007-01-25	2009-02-28
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on securities	2007-01-25	2007-04-18
	RO	Dealing in securities	2007-01-25	2007-04-18
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-01-25	2009-02-28
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-09-26	2007-01-25