Dominic Jon Penton
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dominic Jon Penton ( ), a licensed former licensee with CE reference ABM263. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-06 | 2016-06-01 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-16 | 2010-09-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-07-04 | 2016-06-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-07-04 | 2016-06-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | 2004-03-15 | 2005-05-05 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2004-03-15 | 2005-05-05 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-10 | 2004-03-15 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-10 | 2004-03-15 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-09-04 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-09-04 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-09-01 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-09-01 |