Personnel SFC Licences and HKMA Registrations (ID 88037)

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
CEPA ALLIANCE SECURITIES LIMITED	Rep	Advising on securities	2018-01-23	-
	Rep	Dealing in securities	2015-04-08	-
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on securities	2014-03-21	2015-01-08
	Rep	Dealing in securities	2014-03-21	2015-01-08
CEPA ALLIANCE SECURITIES LIMITED	Rep	Dealing in securities	2012-11-05	2014-03-07
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Providing automated trading services	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2012-09-28
Merrill Lynch Far East Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2012-09-28

HKMA registrations

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

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