Penton, Dominic Jon (SFC:ABM263)

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 Far East Limited	Rep	Dealing in futures contracts	2010-09-06	2016-06-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-16	2010-09-06
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-07-04	2016-06-01
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-07-04	2016-06-01
LEHMAN BROTHERS ASIA LIMITED	RO	Dealing in securities	2004-03-15	2005-05-05
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	Dealing in securities	2004-03-15	2005-05-05
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2003-09-10	2004-03-15
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2003-09-10	2004-03-15
LEHMAN BROTHERS ASIA LIMITED	RO	Providing automated trading services	-	2003-09-01
	RO	Dealing in securities	-	2003-09-04
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	Providing automated trading services	-	2003-09-01
	RO	Dealing in securities	-	2003-09-04

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 Far East Limited	Rep	Dealing in futures contracts	2010-09-06	2016-06-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-05-16	2010-09-06
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-07-04	2016-06-01
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-07-04	2016-06-01
LEHMAN BROTHERS ASIA LIMITED	RO	Dealing in securities	2004-03-15	2005-05-05
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	Dealing in securities	2004-03-15	2005-05-05
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2003-09-10	2004-03-15
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2003-09-10	2004-03-15
LEHMAN BROTHERS ASIA LIMITED	RO	Providing automated trading services	-	2003-09-01
	RO	Dealing in securities	-	2003-09-04
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	Providing automated trading services	-	2003-09-01
	RO	Dealing in securities	-	2003-09-04