Dan Yuan
袁旦
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dan Yuan (袁旦), a licensed Responsible Officer with CE reference AXY484. Currently licensed at 1 firm(s): Merrill Lynch (Asia Pacific) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 14.7 years of SFC licence history. Total licence records on file: 12.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2022-12-22 | present |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 - Advising on securities | 2022-12-22 | present |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 - Advising on corporate finance | 2022-12-22 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-08-17 | 2024-03-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-08-17 | 2022-12-22 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2015-08-17 | 2024-03-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-08-17 | 2022-12-22 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2015-08-17 | 2024-03-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2015-08-17 | 2022-12-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-29 | 2015-06-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-08-29 | 2015-06-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-08-29 | 2015-06-20 |