Personnel Hong Kong SFC License Details (ID 88523)

Personnel Hong Kong SFC License Details (ID 88523)

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
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2010-11-16	2013-01-15
	RO	Advising on securities	2010-11-16	2013-01-15
	RO	Dealing in securities	2010-11-16	2013-01-15
	Rep	Advising on corporate finance	2010-05-26	2010-11-16
	Rep	Advising on securities	2010-05-26	2010-11-16
	Rep	Dealing in securities	2010-05-26	2010-11-16
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2008-09-18	2010-02-16
	Rep	Dealing in securities	2008-09-18	2010-02-16
LAZARD ASIA (HONG KONG) LIMITED	Rep	Dealing in securities	2007-05-15	2008-08-13
	Rep	Advising on corporate finance	2006-06-07	2008-08-13
	Rep	Advising on securities	2006-06-07	2008-08-13
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2005-05-19	2006-03-24
	Rep	Advising on securities	2005-05-19	2006-03-24
	Rep	Dealing in securities	2005-05-19	2006-03-24
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	-	2005-01-25
	Rep	Providing automated trading services	-	2005-03-23
	Rep	Advising on corporate finance	-	2006-03-24
	Rep	Advising on securities	-	2006-03-24
	Rep	Dealing in securities	-	2006-03-24