Sharon Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sharon Kim ( ), a licensed former licensee with CE reference ALI349. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-08-26 | 2010-10-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2007-07-11 | 2010-10-04 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-07-11 | 2010-08-26 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 - Advising on securities | 2004-11-05 | 2007-04-30 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 9 - Asset management | 2004-11-05 | 2007-04-30 |