Personnel Hong Kong SFC License Details (ID 2127175)

Personnel Hong Kong SFC License Details (ID 2127175)

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	Advising on securities	2023-11-03	2025-01-16
	Rep	Advising on securities	2023-07-28	2023-08-03
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2020-08-21	2021-12-10
CEB International Capital Corporation Limited	Rep	Advising on corporate finance	2016-08-15	2018-07-12
	Rep	Advising on securities	2016-08-15	2018-07-12
	Rep	Dealing in securities	2016-08-15	2018-07-12
ABCI CAPITAL LIMITED	Rep	Advising on corporate finance	2016-07-14	2016-08-06
	Rep	Dealing in securities	2016-07-14	2016-08-06
ABCI Securities Company Limited	Rep	Dealing in securities	2016-07-14	2016-08-06
NATIXIS ASIA LIMITED	Rep	Advising on securities	2014-11-20	2016-06-24
	Rep	Dealing in securities	2014-11-20	2016-06-24
Interactive Brokers LLC	Rep	Dealing in futures contracts	2014-08-12	2014-08-16
	Rep	Dealing in securities	2014-07-02	2014-08-16
SG SECURITIES (HK) LIMITED	Rep	Dealing in securities	2013-09-04	2014-04-16