Personnel Hong Kong SFC License Details (ID 89704)

Personnel Hong Kong SFC License Details (ID 89704)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2019-06-24	2024-01-23
	Rep	Advising on securities	2019-06-24	2024-01-23
	Rep	Dealing in securities	2019-06-24	2024-01-23
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2019-06-24	2024-01-23
	Rep	Advising on securities	2019-06-24	2024-01-23
	Rep	Dealing in securities	2019-06-24	2024-01-23
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2018-03-01	2019-06-06
	Rep	Dealing in futures contracts	2018-03-01	2019-06-06
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2013-07-10	2013-10-01
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2010-02-09	2013-01-15
	Rep	Dealing in securities	2007-12-14	2013-01-15
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2005-09-01	2007-11-20