Personnel Hong Kong SFC License Details (ID 116959)

Personnel Hong Kong SFC License Details (ID 116959)

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	2017-02-10	2022-03-21
	Rep	Dealing in securities	2017-02-10	2022-03-21
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2017-02-10	2022-03-21
	Rep	Dealing in securities	2017-02-10	2022-03-21
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2014-01-28	2016-09-23
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2014-01-28	2016-09-23
Morgan Stanley Asia Limited	Rep	Advising on securities	2013-10-28	2016-09-23
	Rep	Dealing in securities	2013-10-28	2016-09-23
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-10-28	2016-09-23
	Rep	Dealing in securities	2013-10-28	2016-09-23
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2005-09-23	2006-10-14
	Rep	Dealing in securities	2005-09-23	2006-10-14