Personnel Hong Kong SFC License Details (ID 96656)

Personnel Hong Kong SFC License Details (ID 96656)

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	2013-09-06	2014-01-03
Merrill Lynch (Asia Pacific) Limited	Rep	Providing automated trading services	2013-05-28	2013-09-23
	Rep	Dealing in securities	2013-05-28	2014-01-03
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2013-05-28	2014-01-03
	Rep	Dealing in securities	2013-05-28	2014-01-03
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2010-10-14	2012-10-25
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2010-10-14	2012-10-25
	Rep	Dealing in securities	2010-10-14	2012-10-25
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2010-10-14	2012-10-25
Interactive Brokers Hong Kong Limited	RO	Advising on corporate finance	-	2003-05-05
	RO	Advising on securities	-	2003-05-05
	RO	Asset management	-	2003-05-05
	RO	Dealing in securities	-	2003-05-05
TIMBER HILL HONG KONG LIMITED	RO	Advising on futures contracts	-	2003-05-05
	RO	Asset management	-	2003-05-05
	RO	Dealing in futures contracts	-	2003-05-05