Personnel Hong Kong SFC License Details (ID 107980)

Personnel Hong Kong SFC License Details (ID 107980)

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 ASIA LIMITED	Rep	Dealing in futures contracts	2008-06-10	2010-03-31
	Rep	Dealing in securities	2006-10-09	2010-03-31
Standard Chartered Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-03-17	2006-09-09
	Rep	Advising on securities	2005-03-15	2006-09-09
BEAR STEARNS ASIA LIMITED	Rep	Advising on corporate finance	-	2004-12-13
	Rep	Asset management	-	2004-12-13
	Rep	Providing automated trading services	-	2004-12-13
	Rep	Dealing in securities	-	2004-12-13
	Rep	Advising on securities	-	2005-02-05