Personnel Hong Kong SFC License Details (ID 2097775)

Personnel Hong Kong SFC License Details (ID 2097775)

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
Starfish Bay Limited	Rep	Dealing in securities	2026-02-24	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2024-09-27	2025-08-06
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2024-09-27	2025-08-06
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2021-12-14	2024-09-27
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in futures contracts	2021-12-14	2024-09-27
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2017-06-26	2021-12-14
	Rep	Dealing in securities	2017-06-26	2025-08-06
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2017-06-26	2021-12-14
	Rep	Dealing in securities	2017-06-26	2025-08-06
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2017-05-11	2017-05-15
	Rep	Dealing in securities	2017-05-11	2017-05-15
	Rep	Dealing in futures contracts	2016-11-04	2016-11-13
	Rep	Dealing in securities	2016-11-04	2016-11-13
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-07-10	2016-05-20
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2013-07-10	2016-05-20
	Rep	Dealing in securities	2013-07-10	2016-05-20
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-07-10	2016-05-20