Personnel SFC Licences and HKMA Registrations (ID 22378755)

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	2025-07-03	-
	Rep	Dealing in securities	2025-07-03	-
	Rep	Advising on securities	2024-01-18	2025-03-31
	Rep	Advising on securities	2020-01-17	2020-02-08
	Rep	Advising on securities	2019-09-20	2019-09-26
	Rep	Advising on securities	2019-07-19	2019-08-18
	Rep	Advising on securities	2018-11-01	2018-11-09

HKMA registrations

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

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