Personnel Hong Kong SFC License Details (ID 21139316)

Personnel Hong Kong SFC License Details (ID 21139316)

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 ASIA LIMITED	Rep	Dealing in futures contracts	2026-07-14	-
	Rep	Dealing in securities	2026-07-14	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2026-07-14	-
	Rep	Dealing in securities	2026-07-14	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2022-08-02	2026-04-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2018-07-31	2026-04-14
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2018-07-31	2026-04-14
	Rep	Dealing in securities	2018-07-31	2026-04-14