Personnel SFC Licences and HKMA Registrations (ID 87981)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2023-02-28	-
	RO	Dealing in futures contracts	2023-02-28	-
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on securities	2023-02-28	-
	RO	Dealing in securities	2023-02-28	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2016-07-07	2023-02-28
	Rep	Dealing in futures contracts	2016-07-07	2023-02-28
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2016-07-07	2023-02-28
	Rep	Dealing in securities	2016-07-07	2023-02-28
Merrill Lynch (Asia Pacific) Limited	RO	Dealing in securities	2015-09-04	2016-04-05
Merrill Lynch Far East Limited	RO	Dealing in futures contracts	2015-09-04	2016-04-05
	RO	Dealing in securities	2015-09-04	2016-04-05
	Rep	Dealing in futures contracts	2010-09-02	2015-09-04
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-05-29	2015-09-04
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-05-29	2015-09-04
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-05-29	2010-09-02

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.