Personnel SFC Licences and HKMA Registrations (ID 22228509)

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 HONG KONG LIMITED	Rep	Advising on corporate finance	2021-07-27	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2018-09-28	2021-06-23
	Rep	Dealing in securities	2018-09-28	2021-06-23

HKMA registrations

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

HKMA registration number: AH9582

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
UBS AG	Dealing in securities	Non-EO	INVESTMENT BANKER	2021-07-17	—	Current
UBS AG	Advising on securities	Non-EO	INVESTMENT BANKER	2021-07-17	—	Current
UBS AG	Advising on corporate finance	Non-EO	INVESTMENT BANKER	2021-07-17	—	Current
BNP PARIBAS	Dealing in securities	Non-EO	—	2018-10-10	2021-06-23	Former
BNP PARIBAS	Advising on corporate finance	Non-EO	—	2018-10-10	2021-06-23	Former