Personnel SFC Licences and HKMA Registrations (ID 88205)

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
TFI Securities and Futures Limited	RO	Advising on securities	2023-04-03	-
TFI Asset Management Limited	RO	Advising on futures contracts	2023-02-06	-
	RO	Advising on securities	2023-02-06	-
	RO	Asset management	2023-02-06	-
TFI Securities and Futures Limited	RO	Dealing in futures contracts	2020-05-05	-
	RO	Dealing in securities	2019-12-16	-
CEB International Capital Corporation Limited	Rep	Advising on securities	2018-10-22	2019-07-10
	Rep	Dealing in securities	2018-10-22	2019-07-10
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2010-10-04	2017-08-22
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-10-04	2017-08-22
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-10-04	2010-12-16

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.