James Dean Forbes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Dean Forbes ( ), a licensed former licensee with CE reference ASD504. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-12-09 | 2009-04-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-12-09 | 2009-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2008-12-09 | 2009-04-02 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2008-12-09 | 2009-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2008-12-09 | 2009-04-02 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2008-12-09 | 2009-04-02 |