Richard Chau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Chau ( ), a licensed former licensee with CE reference ACL796. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2019-11-19 | 2020-01-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2019-11-19 | 2020-01-02 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2019-11-19 | 2020-01-02 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2018-08-06 | 2019-11-19 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2018-08-06 | 2019-11-19 |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2018-08-06 | 2019-11-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2018-04-10 | 2018-08-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2018-04-10 | 2018-08-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2018-04-10 | 2018-08-06 |