Personnel Hong Kong SFC License Details (ID 98955)

Personnel Hong Kong SFC License Details (ID 98955)

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
DTC Investment Management (HK) Limited	RO	Asset management	2013-03-26	-
	RO	Asset management	2012-08-13	2013-02-13
	RO	Dealing in securities	2011-08-19	-
	Rep	Asset management	2010-11-09	2012-08-13
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-06	2010-10-27
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-09-03	2010-10-27
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-09-03	2010-09-06
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-04-30	2008-06-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-04-30	2008-06-03
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-07-06	2007-03-10
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-07-06	2007-03-10