Personnel Hong Kong SFC License Details (ID 2376604)

Personnel Hong Kong SFC License Details (ID 2376604)

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 ASIA LIMITED	Rep	Dealing in futures contracts	2026-09-15	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2026-09-15	-
	Rep	Dealing in securities	2026-08-24	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2024-07-23	-
	Rep	Dealing in securities	2023-06-12	2023-06-18
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-06-11	2020-10-30
	Rep	Dealing in futures contracts	2019-06-11	2020-10-30
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2015-11-16	2019-03-11
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2015-11-16	2019-03-11
	Rep	Dealing in securities	2015-11-16	2019-03-11
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2015-01-27	2015-10-05
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2015-01-27	2015-10-05
	Rep	Dealing in securities	2015-01-27	2015-10-05