Personnel Hong Kong SFC License Details (ID 2276376)

Personnel Hong Kong SFC License Details (ID 2276376)

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
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	RO	Advising on futures contracts	2026-03-19	-
	RO	Advising on securities	2026-03-19	-
	RO	Dealing in futures contracts	2026-03-19	-
	RO	Dealing in securities	2026-03-19	-
	RO	Advising on futures contracts	2026-03-16	2026-03-18
	RO	Advising on securities	2026-03-16	2026-03-18
	RO	Dealing in futures contracts	2026-03-16	2026-03-18
	RO	Dealing in securities	2026-03-16	2026-03-18
	Rep	Dealing in securities	2024-01-08	2026-03-16
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2014-06-03	2018-04-30
	Rep	Dealing in securities	2014-06-03	2018-04-30