SFC Licences of BROOKHOUSE Simon Douglas

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO 4 13 October 2010 01 April 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO 1 13 October 2010 01 April 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 4 11 August 2010 13 October 2010
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 1 11 August 2010 13 October 2010
Merrill Lynch (Asia Pacific) Limited RO 1 01 April 2003 01 October 2003
Merrill Lynch (Asia Pacific) Limited RO 6 01 April 2003 01 October 2003
Merrill Lynch (Asia Pacific) Limited RO 7 01 April 2003 01 October 2003
Merrill Lynch Far East Limited RO 9 01 April 2003 01 October 2003
Merrill Lynch Far East Limited RO 6 01 April 2003 01 October 2003
Merrill Lynch Far East Limited RO 4 01 April 2003 01 October 2003
Merrill Lynch (Asia Pacific) Limited RO 9 01 April 2003 01 October 2003
Merrill Lynch Far East Limited RO 1 01 April 2003 01 October 2003
Merrill Lynch (Asia Pacific) Limited RO 4 01 April 2003 01 October 2003