Personnel Hong Kong SFC License Details (ID 93268)

Personnel Hong Kong SFC License Details (ID 93268)

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
NATIXIS ASIA LIMITED	Rep	Advising on securities	2019-07-15	2024-09-20
	Rep	Dealing in securities	2019-07-15	2024-09-20
CGS International Securities Hong Kong Limited	RO	Advising on corporate finance	2012-07-03	2015-04-22
	RO	Dealing in securities	2012-07-03	2015-04-22
RBS Asia Corporate Finance Limited	RO	Advising on corporate finance	2011-01-19	2012-06-30
	RO	Dealing in securities	2011-01-19	2012-06-30
	Rep	Advising on corporate finance	2010-06-17	2011-01-19
	Rep	Dealing in securities	2010-06-17	2011-01-19
Merrill Lynch Far East Limited	Rep	Advising on securities	2005-04-22	2007-06-02
	Rep	Dealing in securities	2005-04-22	2007-06-02
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2004-04-01	2007-06-02
	Rep	Advising on securities	2004-04-01	2007-06-02
	Rep	Dealing in securities	2004-04-01	2007-06-02
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2004-04-01	2007-06-02
BOCI ASIA LIMITED	Rep	Advising on corporate finance	-	2004-03-20
	Rep	Dealing in securities	-	2004-03-20