Personnel SFC Licences and HKMA Registrations (ID 88079)

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 corporate finance	2024-10-18	-
	Rep	Advising on securities	2024-10-18	-
	Rep	Dealing in securities	2024-10-18	-
	Rep	Advising on securities	2007-02-16	2013-10-07
Merrill Lynch Far East Limited	Rep	Advising on securities	2007-02-16	2013-10-07
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-02-08	2013-10-07
	Rep	Dealing in securities	2007-02-08	2013-10-07
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-02-08	2013-10-07
	Rep	Dealing in securities	2007-02-08	2013-10-07
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2006-08-15	2007-01-02
	Rep	Dealing in securities	2006-08-15	2007-01-02

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.