Personnel Hong Kong SFC License Details (ID 129977)

Personnel Hong Kong SFC License Details (ID 129977)

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	Rep	Providing automated trading services	2016-12-19	-
	Rep	Dealing in securities	2016-12-19	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-10-04	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-10-04	2016-12-18
	Rep	Dealing in securities	2011-10-04	2016-12-18
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2010-10-11	2011-05-06
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-07-07	2011-05-06
	Rep	Dealing in futures contracts	2010-07-07	2011-05-06
	Rep	Dealing in securities	2010-07-07	2011-05-06