Personnel Hong Kong SFC License Details (ID 106117)

Personnel Hong Kong SFC License Details (ID 106117)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	2017-02-08
	Rep	Dealing in futures contracts	2016-12-19	2017-02-08
	RO	Dealing in securities	2016-12-19	2017-02-08
	RO	Dealing in securities	2014-07-15	2016-12-18
UBS SECURITIES ASIA LIMITED	RO	Dealing in securities	2013-12-13	2017-02-08
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-07-15	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2013-07-15	2013-12-13
	Rep	Dealing in futures contracts	2013-07-15	2017-02-08
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-07-15	2014-07-15
	Rep	Providing automated trading services	2013-07-15	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-08-07
	Rep	Advising on securities	-	2004-08-07
	Rep	Asset management	-	2004-08-07
	Rep	Dealing in securities	-	2004-08-07