Personnel Hong Kong SFC License Details (ID 88198)

Personnel Hong Kong SFC License Details (ID 88198)

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
Admiralty Harbour Capital Limited	RO	Advising on corporate finance	2023-12-12	-
	Rep	Advising on corporate finance	2020-03-30	2023-12-12
	RO	Advising on securities	2019-07-10	-
	RO	Dealing in securities	2019-07-10	-
	Rep	Advising on securities	2019-01-22	2019-07-10
	Rep	Dealing in securities	2019-01-22	2019-07-10
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2013-07-15	2015-01-08
	Rep	Advising on securities	2013-07-15	2015-01-08
	Rep	Dealing in securities	2013-07-15	2015-01-08
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2012-06-01	2013-04-30
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2005-09-12	2012-01-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2005-09-12	2012-01-12
	Rep	Advising on securities	2005-09-12	2012-01-12
	Rep	Dealing in securities	2005-09-12	2012-01-12
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2004-08-30	2012-01-12
	Rep	Dealing in securities	2004-08-30	2012-01-12