Simon Robert Garing
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Robert Garing ( ), a licensed former licensee with CE reference BAU805. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2017-04-10 | 2017-09-11 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2017-04-10 | 2017-09-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2014-01-02 | 2017-04-10 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2014-01-02 | 2017-04-10 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-12-02 | 2013-12-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2013-12-02 | 2013-12-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-07-25 | 2013-07-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2013-07-25 | 2013-07-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-06-11 | 2013-06-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2013-06-11 | 2013-06-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-02-06 | 2013-02-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2013-02-06 | 2013-02-07 |