Personnel Hong Kong SFC License Details (ID 2298432)

Personnel Hong Kong SFC License Details (ID 2298432)

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
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2020-02-05	2023-06-15
	Rep	Dealing in securities	2020-02-05	2023-06-15
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2020-02-05	2023-06-15
	Rep	Dealing in securities	2020-02-05	2023-06-15
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2018-12-14	2018-12-21
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2015-01-23	2016-07-08
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2015-01-02	2016-07-08
	Rep	Dealing in securities	2015-01-02	2016-07-08
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2015-01-02	2016-07-08
	Rep	Dealing in securities	2015-01-02	2016-07-08
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2014-07-24	2014-12-29
	Rep	Dealing in securities	2014-07-24	2014-12-29
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2014-07-24	2014-12-29
	Rep	Dealing in securities	2014-07-24	2014-12-29