Personnel Hong Kong SFC License Details (ID 2373450)

Personnel Hong Kong SFC License Details (ID 2373450)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2025-08-11	-
	Rep	Dealing in securities	2025-08-11	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2021-01-29	2025-03-17
	Rep	Advising on securities	2021-01-29	2025-03-17
	Rep	Providing automated trading services	2021-01-29	2025-03-17
	Rep	Dealing in futures contracts	2021-01-29	2025-03-17
	Rep	Dealing in securities	2021-01-18	2025-03-17
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2017-05-29	2020-12-21
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2016-07-04	2017-03-09
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2015-01-20	2016-01-16
	Rep	Dealing in securities	2015-01-20	2016-01-16
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2015-01-20	2016-01-16
	Rep	Dealing in securities	2015-01-20	2016-01-16