Hun Soo Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hun Soo Kim ( ), a licensed former licensee with CE reference ABD392. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carret Private Capital Limited | Rep | Type 1 — Dealing in securities | 2018-05-14 | 2019-04-15 |
| Carret Private Capital Limited | Rep | Type 4 — Advising on securities | 2018-05-14 | 2019-04-15 |
| Carret Private Capital Limited | Rep | Type 9 — Asset management | 2018-05-14 | 2019-04-15 |
| QL Asset Management Company Limited |
RO | Type 1 — Dealing in securities | 2014-10-06 | 2018-04-30 |
| QL Asset Management Company Limited |
RO | Type 4 — Advising on securities | 2014-10-06 | 2018-04-30 |
| QL Asset Management Company Limited |
RO | Type 9 — Asset management | 2014-10-06 | 2018-04-30 |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2010-08-20 | 2012-05-02 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2010-05-18 | 2012-05-02 |
| Merrill Lynch Futures (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2005-12-21 | 2010-12-31 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | present | 2012-05-02 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 7 — Providing automated trading services | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 9 — Asset management | present | 2005-01-25 |