Penton, Dominic Jon (SFC:ABM263)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | LEHMAN BROTHERS ASIA LIMITED | RO | Automated trading services | 2003-09-01 | RO | Dealing in securities | 2003-09-04 | Rep | Dealing in securities | 2003-09-10 | 2004-03-15 | RO | Dealing in securities | 2004-03-15 | 2005-05-05 |
2 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | RO | Automated trading services | 2003-09-01 | RO | Dealing in securities | 2003-09-04 | Rep | Dealing in securities | 2003-09-10 | 2004-03-15 | RO | Dealing in securities | 2004-03-15 | 2005-05-05 |
3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2005-07-04 | 2016-06-01 |
4 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2005-07-04 | 2016-06-01 | Rep | Dealing in futures contracts | 2010-09-06 | 2016-06-01 |
5 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-16 | 2010-09-06 |
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