SFC Licences of PENTON Dominic Jon
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | RE | 2 | 06 September 2010 | 01 June 2016 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 16 May 2008 | 06 September 2010 |
| Merrill Lynch Far East Limited | RE | 1 | 04 July 2005 | 01 June 2016 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 04 July 2005 | 01 June 2016 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RO | 1 | 15 March 2004 | 05 May 2005 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 | RO | 1 | 15 March 2004 | 05 May 2005 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 10 September 2003 | 15 March 2004 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 | RE | 1 | 10 September 2003 | 15 March 2004 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 | RO | 1 | 01 April 2003 | 04 September 2003 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RO | 1 | 01 April 2003 | 04 September 2003 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RO | 7 | 01 April 2003 | 01 September 2003 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 | RO | 7 | 01 April 2003 | 01 September 2003 |