Personnel Hong Kong SFC License Details (ID 100151)

Personnel Hong Kong SFC License Details (ID 100151)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2015-05-04	2020-03-20
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2012-09-04	2014-07-22
TUFTON OCEANIC FAR EAST LIMITED	RO	Advising on securities	2009-11-19	2012-06-30
	RO	Asset management	2009-11-19	2012-06-30
	RO	Dealing in securities	2009-11-19	2012-06-30
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2006-09-29	2008-10-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-09-29	2008-10-18
	Rep	Dealing in securities	2006-09-29	2008-10-18
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-09-29	2008-10-18