Personnel Hong Kong SFC License Details (ID 23341523)

Personnel Hong Kong SFC License Details (ID 23341523)

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
Capibara Capital (Hong Kong) Limited	Rep	Advising on securities	2026-01-22	-
	Rep	Asset management	2026-01-22	-
NeoSpective Capital Limited	Rep	Advising on securities	2025-06-16	2025-12-22
	Rep	Asset management	2025-06-16	2025-12-22
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2022-09-13	2024-10-23
	Rep	Dealing in securities	2022-09-13	2024-10-23
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2022-09-13	2024-10-23
	Rep	Dealing in securities	2022-09-13	2024-10-23
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2020-02-13	2022-06-10
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2019-06-24	2022-06-10
	Rep	Dealing in securities	2019-06-24	2022-06-10