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.
Some data are hidden to fit your display. Rotate?
| 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 |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy