Personnel Hong Kong SFC License Details (ID 88073)

Personnel Hong Kong SFC License Details (ID 88073)

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
ARK GROUP HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2017-08-24	2020-01-31
	Rep	Asset management	2017-08-24	2020-01-31
	Rep	Dealing in securities	2017-08-24	2020-01-31
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2012-06-11	2014-08-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2012-05-04	2014-08-15
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2012-05-04	2014-08-15
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2011-11-15	2012-03-05
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2011-08-03	2012-03-05
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-06-10	2012-03-05
Morgan Stanley Asia Limited	Rep	Dealing in securities	2009-08-27	2010-05-20
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2009-08-27	2010-05-20