Personnel SFC Licences and HKMA Registrations (ID 23374108)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2025-07-28	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2025-07-28	-
	Rep	Dealing in securities	2025-07-28	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2021-08-24	2025-04-16
	Rep	Dealing in securities	2021-08-24	2025-04-16
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2021-08-24	2025-04-16
	Rep	Dealing in securities	2021-08-24	2025-04-16
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2019-07-02	2021-07-28
	Rep	Dealing in securities	2019-07-02	2021-07-28

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.