Personnel Hong Kong SFC License Details (ID 87886)

Personnel Hong Kong SFC License Details (ID 87886)

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
CAIIS Limited	Rep	Advising on securities	2016-08-12	2018-02-01
	Rep	Dealing in securities	2016-08-12	2018-02-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-11-22	2013-05-25
	Rep	Dealing in securities	2010-11-30	2013-05-25
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-11-30	2013-05-25
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2010-11-01	2010-11-01
	Rep	Advising on securities	2010-11-01	2010-11-01
	Rep	Dealing in futures contracts	2010-11-01	2010-11-01
	Rep	Dealing in securities	2010-11-01	2010-11-01
FT Securities Limited	Rep	Advising on futures contracts	2005-09-30	2010-10-31
	Rep	Dealing in futures contracts	2005-09-30	2010-10-31
	Rep	Advising on corporate finance	-	2004-05-18
	Rep	Advising on securities	-	2004-05-18
	Rep	Asset management	-	2004-05-18
	Rep	Dealing in securities	-	2010-10-31
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-05-18
	Rep	Asset management	-	2004-05-18
	Rep	Dealing in futures contracts	-	2005-10-04