Simon Douglas Brookhouse

CE No. ADH078 Ceased

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

FirmRoleRegulated activityFromTo
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

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