Personnel Hong Kong SFC License Details (ID 97936)

Personnel Hong Kong SFC License Details (ID 97936)

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
IAM LEGACY LIMITED	Rep	Advising on securities	2013-03-01	2013-09-25
	Rep	Asset management	2013-03-01	2013-09-25
JS SECURITIES LIMITED (HK)	Rep	Dealing in securities	2013-03-01	2013-09-25
Tiger Securities Asset Management Company Limited	Rep	Dealing in securities	2013-01-22	2013-02-14
	RO	Advising on securities	2007-09-18	2012-08-28
	RO	Asset management	2007-09-18	2012-08-28
	RO	Dealing in securities	2007-09-18	2012-08-28
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	-	2005-01-25
	Rep	Advising on corporate finance	-	2005-03-23
	Rep	Advising on securities	-	2005-03-23
	Rep	Providing automated trading services	-	2005-03-23
	Rep	Dealing in securities	-	2005-03-30
Merrill Lynch Far East Limited	Rep	Asset management	-	2005-01-25
	Rep	Advising on corporate finance	-	2005-03-23
	Rep	Advising on securities	-	2005-03-23
	Rep	Dealing in securities	-	2005-03-23