Personnel Hong Kong SFC License Details (ID 2470780)

Personnel Hong Kong SFC License Details (ID 2470780)

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	2023-07-13	-
	Rep	Dealing in securities	2023-07-13	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2023-07-13	-
	Rep	Dealing in securities	2023-07-13	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	Dealing in futures contracts	2021-12-13	2023-05-02
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2021-12-13	2023-05-02
	Rep	Dealing in futures contracts	2021-12-13	2023-05-02
	Rep	Dealing in securities	2021-12-13	2023-05-02
CICC US Securities (Hong Kong) Limited	Rep	Dealing in securities	2021-12-13	2023-05-02
Marex HK Asia Limited	Rep	Dealing in futures contracts	2015-11-13	2017-06-23
	Rep	Dealing in securities	2015-09-04	2017-06-23