Dorothy J Dong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dorothy J Dong ( ), a licensed former licensee with CE reference BEE580. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Equities First Holdings Hong Kong Limited | RO | Type 1 — Dealing in securities | 2020-01-20 | 2020-08-17 |
| Equities First Holdings Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2019-05-21 | 2020-01-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2014-09-19 | 2016-08-09 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2014-09-19 | 2016-08-09 |