Personnel Hong Kong SFC License Details (ID 98350)

Personnel Hong Kong SFC License Details (ID 98350)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2021-11-30	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2012-06-04	2018-12-19
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-06-04	2021-07-19
	Rep	Dealing in securities	2012-06-04	2021-07-19
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on securities	2012-01-19	2012-04-26
	Rep	Advising on securities	2009-09-17	2012-01-19
	RO	Dealing in securities	2009-08-05	2012-04-26
	Rep	Dealing in securities	2009-04-28	2009-08-05
HSBC SECURITIES (ASIA) LIMITED	RO	Dealing in securities	2007-07-23	2009-02-18
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2007-05-08	2009-02-18
	Rep	Dealing in securities	2006-08-18	2007-05-08