Personnel Hong Kong SFC License Details (ID 119576)

Personnel Hong Kong SFC License Details (ID 119576)

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 securities	2025-05-26	2025-05-31
	Rep	Dealing in securities	2024-10-04	2024-10-07
	Rep	Dealing in securities	2024-03-22	2024-03-28
	Rep	Dealing in securities	2022-10-25	2022-10-28
	Rep	Dealing in securities	2017-10-16	2022-05-31
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2014-06-13	2015-11-30
	Rep	Dealing in futures contracts	2014-06-13	2016-07-11
	Rep	Dealing in securities	2014-06-13	2016-07-11
	RO	Advising on securities	2013-04-02	2017-06-09
	Rep	Advising on securities	2013-01-23	2013-04-02
	Rep	Dealing in securities	2012-03-05	2013-01-23
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2006-11-21	2010-10-08