Personnel SFC Licences and HKMA Registrations (ID 88930)

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	RO	Advising on corporate finance	2017-12-19	-
	RO	Advising on securities	2017-12-19	-
	RO	Dealing in securities	2017-12-19	-
Merrill Lynch Far East Limited	RO	Advising on corporate finance	2017-12-19	2024-02-19
	RO	Advising on securities	2017-12-19	2024-02-19
	RO	Dealing in securities	2017-12-19	2024-02-19
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2015-05-29	2017-12-19
	Rep	Advising on securities	2015-05-29	2017-12-19
	Rep	Dealing in securities	2015-05-29	2017-12-19
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2015-05-29	2017-12-19
	Rep	Advising on securities	2015-05-29	2017-12-19
	Rep	Dealing in securities	2015-05-29	2017-12-19
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2008-02-22	2015-02-27
	Rep	Dealing in securities	2008-02-22	2015-02-27

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.