Personnel Hong Kong SFC License Details (ID 89499)

Personnel Hong Kong SFC License Details (ID 89499)

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 Asia Limited	RO	Advising on corporate finance	2011-10-28	2013-02-01
	RO	Dealing in securities	2011-10-28	2013-02-01
	Rep	Advising on corporate finance	2010-05-10	2011-10-28
	Rep	Dealing in securities	2010-05-10	2011-10-28
Merrill Lynch Far East Limited	Rep	Advising on securities	2005-04-22	2005-06-16
	Rep	Dealing in securities	2005-04-22	2005-06-16
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2004-05-28	2005-06-16
	Rep	Advising on securities	2004-05-28	2005-06-16
	Rep	Dealing in securities	2004-05-28	2005-06-16
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2004-05-28	2005-06-16
LEHMAN BROTHERS ASIA HOLDINGS LIMITED	Rep	Advising on corporate finance	-	2003-08-12
	Rep	Advising on securities	-	2003-08-12
	Rep	Asset management	-	2003-08-12
LEHMAN BROTHERS ASIA LIMITED	Rep	Asset management	-	2003-08-12
	Rep	Advising on corporate finance	-	2004-05-10
	Rep	Advising on securities	-	2004-05-10