David John Broadfield
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David John Broadfield, a licensed Responsible Officer with CE reference BBT521. Currently licensed at 2 firm(s): Merrill Lynch (Asia Pacific) Limited, Merrill Lynch Far East Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. 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 | 2023-03-02 | present |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2018-07-31 | present |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2018-07-31 | present |
| Merrill Lynch Far East Limited | RO | Type 7 — Providing automated trading services | 2018-07-31 | 2018-11-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2014-07-07 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2014-07-07 | 2018-07-31 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2014-07-07 | 2018-07-31 |
| Merrill Lynch Far East Limited | Rep | Type 7 — Providing automated trading services | 2014-07-07 | 2018-07-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-23 | 2014-04-05 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-23 | 2014-04-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-08-23 | 2014-04-05 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2013-08-23 | 2014-04-05 |