Personnel SFC Licences and HKMA Registrations (ID 2289085)

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	2020-09-01	-
	Rep	Dealing in securities	2020-09-01	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2020-09-01	-
	Rep	Dealing in securities	2020-09-01	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Providing automated trading services	2014-07-03	2015-11-30
	Rep	Dealing in securities	2014-07-03	2020-05-29

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.