Personnel Hong Kong SFC License Details (ID 94446)

Personnel Hong Kong SFC License Details (ID 94446)

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
BOA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2019-09-23	2023-02-10
	Rep	Dealing in securities	2019-09-23	2023-02-10
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-08-24	2016-12-24
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-06-10	2016-12-24
KGI WEALTH MANAGEMENT LIMITED	Rep	Dealing in securities	2009-03-25	2009-06-06
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-04-22	2008-10-21
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-04-22	2008-10-21
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-09-24	2008-10-21
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Advising on securities	-	2004-04-16
	Rep	Dealing in securities	-	2004-09-24