Personnel Hong Kong SFC License Details (ID 128408)

Personnel Hong Kong SFC License Details (ID 128408)

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	RO	Advising on corporate finance	2021-09-02	-
	Rep	Advising on corporate finance	2016-12-19	2021-09-02
	Rep	Advising on corporate finance	2016-01-27	2016-12-18
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2014-01-14	2015-12-18
	Rep	Advising on securities	2014-01-14	2015-12-18
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2012-01-13	2013-05-23
	Rep	Advising on securities	2012-01-13	2013-05-23
	Rep	Dealing in securities	2012-01-13	2013-05-23
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2009-08-14	2010-12-02
	Rep	Advising on securities	2009-08-14	2010-12-02
	Rep	Dealing in securities	2009-08-14	2010-12-02
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2009-08-14	2010-12-02
	Rep	Advising on securities	2009-08-14	2010-12-02
	Rep	Dealing in securities	2009-08-14	2010-12-02