Personnel Hong Kong SFC License Details (ID 89432)

Personnel Hong Kong SFC License Details (ID 89432)

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
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2018-11-15	-
Morgan Stanley Asia Limited	Rep	Dealing in securities	2018-11-07	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-09-19	2018-08-09
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2013-06-18	2014-06-05
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2013-06-18	2014-06-05
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2012-01-20	2013-03-19
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2007-03-22	2010-01-18
	Rep	Dealing in securities	2007-03-22	2013-03-19