Personnel Hong Kong SFC License Details (ID 90855)

Personnel Hong Kong SFC License Details (ID 90855)

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 Far East Limited	Rep	Providing automated trading services	2013-08-19	2018-11-01
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2012-10-09	-
	Rep	Providing automated trading services	2012-10-09	2013-09-23
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-10-09	-
	Rep	Dealing in securities	2012-10-09	-
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Providing automated trading services	2010-06-07	2012-07-10
	Rep	Dealing in securities	2010-06-07	2012-07-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-15	2012-07-10
	Rep	Dealing in securities	2008-10-15	2012-07-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-04-30	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	Dealing in futures contracts	2008-04-30	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2008-04-18	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-04-18	2008-09-29
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-06-08	2008-03-19
Citigroup Global Markets Asia Limited	Rep	Advising on corporate finance	2003-04-01	2004-03-01
	Rep	Advising on securities	2003-04-01	2004-03-01
	Rep	Asset management	2003-04-01	2004-03-01
	Rep	Providing automated trading services	2003-04-01	2004-03-01
	Rep	Dealing in securities	2003-04-01	2006-05-08