Personnel SFC Licences and HKMA Registrations (ID 87998)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2022-06-24	-
	Rep	Dealing in securities	2022-06-24	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2011-08-04	2022-04-12
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2011-08-04	2022-04-12
	Rep	Dealing in securities	2011-08-04	2022-04-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Providing automated trading services	2009-02-20	2011-05-04
	Rep	Dealing in securities	2004-07-05	2011-05-04
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2004-07-05	2011-05-04
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-07-05	2011-05-04
Credit Suisse Futures (Hong Kong) Limited	Rep	Advising on futures contracts	2003-04-01	2004-04-07
	Rep	Asset management	2003-04-01	2004-04-07
	Rep	Providing automated trading services	2003-04-01	2004-04-07
	Rep	Dealing in futures contracts	2003-04-01	2004-04-07
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Advising on corporate finance	2003-04-01	2004-04-07
	Rep	Advising on securities	2003-04-01	2004-04-07
	Rep	Asset management	2003-04-01	2004-04-07
	Rep	Dealing in securities	2003-04-01	2004-04-07

HKMA registrations

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

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