Personnel Hong Kong SFC License Details (ID 93441)

Personnel Hong Kong SFC License Details (ID 93441)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2012-06-11	2015-06-18
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2011-08-18	2012-04-12
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2008-04-23	2011-05-03
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2008-04-23	2011-05-03
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-03-20	2008-03-08
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-04-22	2008-03-08
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-10-25	2008-03-08
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-03
	Rep	Advising on securities	-	2004-02-03
	Rep	Asset management	-	2004-02-03
	Rep	Dealing in securities	-	2004-10-15