Personnel Hong Kong SFC License Details (ID 96751)

Personnel Hong Kong SFC License Details (ID 96751)

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 (Asia Pacific) Limited	Rep	Dealing in securities	2022-05-23	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2022-05-23	-
	Rep	Dealing in securities	2022-05-23	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2015-03-30	2022-02-14
	Rep	Dealing in futures contracts	2015-03-30	2022-02-14
Vanguard Investments Hong Kong Limited	Rep	Advising on securities	2013-05-30	2015-01-28
	Rep	Dealing in securities	2013-05-30	2015-01-28
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2010-01-11	2012-10-30