Personnel Hong Kong SFC License Details (ID 1907453)

Personnel Hong Kong SFC License Details (ID 1907453)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on corporate finance	2018-07-09	-
	RO	Advising on securities	2018-07-09	-
	RO	Dealing in securities	2018-07-09	-
	Rep	Advising on corporate finance	2018-05-17	2018-07-09
	Rep	Advising on securities	2018-05-17	2018-07-09
	Rep	Dealing in securities	2018-05-17	2018-07-09
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2016-12-19	2018-02-03
	RO	Advising on corporate finance	2013-11-25	2016-12-18
	Rep	Advising on corporate finance	2012-06-07	2013-11-25