Personnel SFC Licences and HKMA Registrations (ID 19274606)

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	2026-11-02	-
	Rep	Dealing in securities	2026-11-02	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2026-11-02	-
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2019-07-22	2019-10-11
	Rep	Dealing in securities	2019-07-22	2019-10-11
GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2018-07-10	2019-07-04
	Rep	Asset management	2018-07-10	2019-07-04
	Rep	Dealing in securities	2018-07-10	2019-07-04

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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