Personnel Hong Kong SFC License Details (ID 1939398)

Personnel Hong Kong SFC License Details (ID 1939398)

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
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2026-08-21	-
	RO	Dealing in securities	2026-08-21	-
	Rep	Advising on corporate finance	2026-06-22	2026-08-21
	Rep	Dealing in securities	2026-06-22	2026-08-21
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on corporate finance	2026-02-11	2026-05-15
	RO	Advising on securities	2026-02-11	2026-05-15
	RO	Dealing in securities	2026-02-11	2026-05-15
	Rep	Advising on corporate finance	2014-09-16	2026-02-11
	Rep	Advising on securities	2014-09-16	2026-02-11
	Rep	Dealing in securities	2014-09-16	2026-02-11
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2014-01-16	2014-07-05
	Rep	Advising on corporate finance	2012-08-13	2013-06-24