Dominic Jon Penton

CE No. ABM263 Ceased

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

FirmRoleRegulated activityFromTo
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

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