Thomas Alan Halliwell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Alan Halliwell ( ), a licensed former licensee with CE reference ANL835. Total licence records on file: 32.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2026-02-02 | 2026-02-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2026-02-02 | 2026-02-04 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2026-02-02 | 2026-02-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2025-08-12 | 2025-08-14 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2025-08-12 | 2025-08-14 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2025-08-12 | 2025-08-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2024-12-02 | 2024-12-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2024-12-02 | 2024-12-05 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2024-12-02 | 2024-12-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2024-06-03 | 2024-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2024-06-03 | 2024-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2024-06-03 | 2024-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2023-06-16 | 2023-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2023-06-16 | 2023-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2023-06-16 | 2023-06-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2022-11-25 | 2022-12-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2022-11-25 | 2022-12-02 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2022-11-25 | 2022-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2016-04-20 | 2016-10-11 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2016-04-20 | 2019-09-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2016-04-20 | 2016-10-11 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2016-04-20 | 2019-09-20 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-18 | 2015-11-27 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-20 | 2010-08-01 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-29 | 2010-03-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-04-30 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-14 | 2008-09-29 |
| 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 | 2007-05-14 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-05-14 | 2008-09-29 |
| Lehman Brothers Futures Asia Limited |
Rep | Type 2 — Dealing in futures contracts | 2007-05-14 | 2008-09-29 |
| Turiya Advisors Asia Limited | Rep | Type 9 — Asset management | 2006-06-01 | 2007-05-01 |