Personnel Hong Kong SFC License Details (ID 2303457)

Personnel Hong Kong SFC License Details (ID 2303457)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-11-22	2026-03-28
	Rep	Dealing in securities	2017-11-22	2026-03-28
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2017-09-06
	Rep	Dealing in securities	2016-12-19	2017-09-06
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-08-05	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2014-08-05	2017-09-06
	Rep	Dealing in securities	2014-08-05	2017-09-06
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-08-05	2016-12-18