Personnel Hong Kong SFC License Details (ID 87954)

Personnel Hong Kong SFC License Details (ID 87954)

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
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2020-11-20	-
	Rep	Asset management	2020-11-20	-
Vision Capital Investment Management Limited	Rep	Advising on securities	2018-09-13	2020-11-02
	Rep	Asset management	2018-09-13	2020-11-02
	Rep	Dealing in securities	2018-09-13	2020-11-02
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2015-05-11	2017-03-08
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2015-05-11	2017-03-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-12-22	2015-01-21
	Rep	Dealing in securities	2014-12-22	2015-01-21
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-02	2014-09-20
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-07-26	2014-09-20
Merrill Lynch Far East Limited	Rep	Dealing in securities	2010-07-26	2014-09-20
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-07-26	2010-09-02