Simon Douglas Brookhouse
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Douglas Brookhouse ( ), a licensed former licensee with CE reference ADH078. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2010-10-13 | 2015-04-01 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2010-10-13 | 2015-04-01 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-11 | 2010-10-13 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-08-11 | 2010-10-13 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | present | 2003-10-01 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | present | 2003-10-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | present | 2003-10-01 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | present | 2003-10-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | present | 2003-10-01 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | present | 2003-10-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 7 — Providing automated trading services | present | 2003-10-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 9 — Asset management | present | 2003-10-01 |
| Merrill Lynch Far East Limited | RO | Type 9 — Asset management | present | 2003-10-01 |