Personnel Hong Kong SFC License Details (ID 133633)

Personnel Hong Kong SFC License Details (ID 133633)

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	2022-03-08	2024-08-02
	Rep	Dealing in securities	2022-03-08	2024-08-02
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2022-03-08	2024-08-02
	Rep	Dealing in futures contracts	2022-03-08	2024-08-02
	Rep	Dealing in securities	2022-03-08	2024-08-02
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2015-03-24	2022-02-04
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2011-11-10	2022-02-04
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-11-10	2022-02-04
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2011-11-10	2022-02-04