Personnel Hong Kong SFC License Details (ID 2312390)

Personnel Hong Kong SFC License Details (ID 2312390)

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 HONG KONG LIMITED	Rep	Advising on corporate finance	2026-07-31	-
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2018-05-23	2026-03-31
	Rep	Advising on securities	2018-05-23	2026-03-31
	Rep	Dealing in securities	2018-05-23	2026-03-31
	Rep	Advising on corporate finance	2018-04-17	2018-04-17
	Rep	Advising on securities	2018-04-17	2018-04-17
	Rep	Dealing in securities	2018-04-17	2018-04-17
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2018-03-15
	Rep	Advising on corporate finance	2015-09-30	2016-12-18
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2014-08-25	2015-07-21
	Rep	Advising on securities	2014-08-25	2015-07-21
	Rep	Dealing in securities	2014-08-25	2015-07-21