Personnel SFC Licences and HKMA Registrations (ID 2276999)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2022-07-20	-
	Rep	Dealing in futures contracts	2022-07-20	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2019-01-09	2022-04-20
	Rep	Dealing in securities	2019-01-09	2022-04-20
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2019-01-09	2022-04-20
	Rep	Dealing in securities	2019-01-09	2022-04-20
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2016-12-13	2018-09-04
	Rep	Dealing in futures contracts	2016-12-13	2018-09-04
	Rep	Dealing in securities	2016-12-13	2018-09-04
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-06-04	2016-11-10
	Rep	Dealing in securities	2014-06-04	2016-11-10

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.