James Y Ho
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Y Ho ( ), a licensed former licensee with CE reference AAY534. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-11-03 | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-08-31 | 2013-11-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | present | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | present | 2010-08-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | present | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |