Personnel Hong Kong SFC License Details (ID 88030)

Personnel Hong Kong SFC License Details (ID 88030)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-12-13	2013-11-07
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-31	2013-11-07
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-07-29	2010-08-31
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-06-30	2013-11-07
KGI ASIA LIMITED	Rep	Dealing in securities	2004-05-03	2004-06-24
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-05-03	2004-06-24
FT Securities Limited	Rep	Advising on corporate finance	-	2004-04-27
	Rep	Advising on securities	-	2004-04-27
	Rep	Asset management	-	2004-04-27
	Rep	Dealing in securities	-	2004-04-28
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-04-27
	Rep	Asset management	-	2004-04-27
	Rep	Dealing in futures contracts	-	2004-04-28