Personnel SFC Licences and HKMA Registrations (ID 111195)

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	2026-10-05	-
	Rep	Dealing in securities	2026-10-05	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2026-10-05	-
	Rep	Dealing in futures contracts	2026-10-05	-
	Rep	Dealing in securities	2026-10-05	-
Morgan Stanley Asia Limited	Rep	Dealing in securities	2018-09-04	2026-07-09
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2018-09-04	2026-07-09
	Rep	Dealing in futures contracts	2018-09-04	2026-07-09
	Rep	Dealing in securities	2018-09-04	2026-07-09
Morgan Stanley Asia Limited	Rep	Dealing in securities	2018-04-26	2018-04-30
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2018-04-26	2018-04-30
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-05-19	2009-03-31
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Providing automated trading services	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2009-03-31
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2005-01-25
	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Providing automated trading services	2003-04-01	2005-01-25
	Rep	Dealing in futures contracts	2003-04-01	2009-03-31

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.