Personnel Hong Kong SFC License Details (ID 1915958)

Personnel Hong Kong SFC License Details (ID 1915958)

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	Providing automated trading services	2018-05-03	2019-11-01
	Rep	Providing automated trading services	2016-12-19	2018-05-03
	Rep	Dealing in securities	2016-12-19	2019-11-01
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2015-01-13	2019-11-01
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2015-01-13	2016-12-18
	Rep	Dealing in securities	2015-01-13	2016-12-18
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2012-12-10	2014-12-21
	Rep	Providing automated trading services	2012-12-10	2014-12-21
	Rep	Dealing in securities	2012-12-10	2014-12-21
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-06-25	2012-12-09
	Rep	Dealing in securities	2012-06-25	2012-12-09