Personnel Hong Kong SFC License Details (ID 2407465)

Personnel Hong Kong SFC License Details (ID 2407465)

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 securities	2019-11-11	2019-11-16
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2017-06-23	2019-03-09
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2017-05-02	2019-03-09
	Rep	Dealing in securities	2017-05-02	2019-03-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2017-05-02	2017-06-23
	Rep	Dealing in securities	2017-05-02	2019-03-09
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-10-20	2016-11-11
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2016-10-20	2016-11-11
	Rep	Dealing in securities	2016-10-20	2016-11-11
	Rep	Dealing in securities	2015-04-15	2015-04-26