Personnel Hong Kong SFC License Details (ID 87967)

Personnel Hong Kong SFC License Details (ID 87967)

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
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2017-09-21	2018-07-20
	RO	Advising on corporate finance	2016-10-31	2017-09-21
	RO	Dealing in securities	2013-12-04	2018-07-20
	Rep	Dealing in securities	2012-11-13	2013-12-04
	Rep	Advising on corporate finance	2012-11-13	2016-10-31
	Rep	Advising on securities	2012-11-13	2016-10-31
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2010-05-18	2012-07-12
	Rep	Advising on securities	2010-05-18	2012-07-12
	Rep	Dealing in securities	2010-05-18	2012-07-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2010-05-18	2012-07-12
	Rep	Advising on securities	2010-05-18	2012-07-12
	Rep	Dealing in securities	2010-05-18	2012-07-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-06-04	2010-03-13
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-03-15	2008-04-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-03-15	2008-04-15
BOCI ASIA LIMITED	Rep	Advising on corporate finance	-	2004-03-01
	Rep	Dealing in securities	-	2004-03-01