Elizabeth Kathleen Miller
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Elizabeth Kathleen Miller, a licensed Responsible Officer with CE reference BGH558. Currently licensed at 1 firm(s): Marshall Wace Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 9 — Asset management. Total licence records on file: 19.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marshall Wace Asia Limited | RO | Type 2 — Dealing in futures contracts | 2025-12-12 | present |
| Marshall Wace Asia Limited | RO | Type 1 — Dealing in securities | 2025-09-05 | present |
| Marshall Wace Asia Limited | RO | Type 9 — Asset management | 2025-09-05 | present |
| Marshall Wace Asia Limited | Rep | Type 1 — Dealing in securities | 2025-07-03 | 2025-09-05 |
| Marshall Wace Asia Limited | Rep | Type 9 — Asset management | 2025-07-03 | 2025-09-05 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2023-05-23 | 2025-03-14 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2021-04-15 | 2025-03-14 |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2021-04-15 | 2025-03-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2020-11-09 | 2023-05-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2020-11-09 | 2021-04-15 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2020-11-09 | 2021-04-15 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2018-08-22 | 2020-07-22 |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2018-08-22 | 2020-07-22 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2017-05-09 | 2018-08-22 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2017-05-09 | 2018-08-22 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2017-05-09 | 2020-07-22 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2017-05-09 | 2020-07-22 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2017-01-23 | 2017-01-27 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2015-10-06 | 2015-10-09 |