Personnel Hong Kong SFC License Details (ID 90588)

Personnel Hong Kong SFC License Details (ID 90588)

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
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2013-02-19	2014-09-29
	Rep	Dealing in futures contracts	2013-02-19	2014-09-29
	Rep	Advising on securities	2012-07-27	2014-09-29
	Rep	Dealing in securities	2012-07-27	2014-09-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-07-27	2012-04-28
	Rep	Dealing in securities	2010-07-27	2012-04-28
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-07-27	2012-04-28
	Rep	Dealing in securities	2010-07-27	2012-04-28
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-08-18	2009-01-23
Merrill Lynch Far East Limited	Rep	Dealing in securities	2008-08-18	2009-01-23
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-08-18	2009-01-23
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-05-16	2008-07-08
	Rep	Dealing in securities	2008-05-16	2008-07-08