Personnel SFC Licences and HKMA Registrations (ID 2227197)

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	2022-06-10	-
	Rep	Dealing in securities	2022-06-10	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2022-06-10	-
	Rep	Dealing in futures contracts	2022-06-10	-
	Rep	Dealing in securities	2022-06-10	-
Liquidnet Asia Limited	Rep	Providing automated trading services	2017-03-14	2022-05-18
	Rep	Dealing in securities	2017-03-14	2022-05-18
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2016-04-07	2017-01-16
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2014-09-10	2016-03-17
Morgan Stanley Asia Limited	Rep	Dealing in securities	2014-03-18	2014-08-22
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2014-03-18	2014-08-22

HKMA registrations

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

HKMA records could not be loaded. Please try again later.