Personnel SFC Licences and HKMA Registrations (ID 2388153)

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	RO	Dealing in futures contracts	2020-10-29	-
	RO	Dealing in securities	2020-10-29	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2020-01-10	-
	Rep	Dealing in securities	2020-01-10	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2020-01-10	2020-10-29
	Rep	Dealing in securities	2020-01-10	2020-10-29
SG SECURITIES (HK) LIMITED	RO	Providing automated trading services	2018-07-31	2019-09-06
	RO	Dealing in futures contracts	2018-07-31	2019-09-06
	RO	Dealing in securities	2018-07-31	2019-09-06
	Rep	Providing automated trading services	2015-03-03	2018-07-31
	Rep	Dealing in futures contracts	2015-03-03	2018-07-31
	Rep	Dealing in securities	2015-03-03	2018-07-31

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.