Personnel Hong Kong SFC License Details (ID 88169)

Personnel Hong Kong SFC License Details (ID 88169)

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
Nine Masts Capital Limited	Rep	Asset management	2021-08-13	-
CITIC Securities International Global Markets Limited	RO	Dealing in securities	2018-02-15	2021-05-10
	Rep	Dealing in futures contracts	2017-12-19	2021-05-10
	Rep	Dealing in securities	2017-06-26	2018-02-15
	Rep	Advising on securities	2017-06-26	2021-05-10
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2017-02-16	2017-06-25
	Rep	Dealing in securities	2017-02-16	2017-06-25
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-24	2012-01-13
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-07-05	2012-01-13
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-07-05	2010-08-24