Personnel Hong Kong SFC License Details (ID 2514059)

Personnel Hong Kong SFC License Details (ID 2514059)

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	2019-09-02	2019-09-06
	Rep	Dealing in securities	2019-09-02	2019-09-06
	Rep	Dealing in futures contracts	2019-06-04	2019-06-07
	Rep	Dealing in securities	2019-06-04	2019-06-07
	Rep	Dealing in futures contracts	2019-03-15	2019-03-22
	Rep	Dealing in securities	2019-03-15	2019-03-22
	Rep	Dealing in futures contracts	2019-01-07	2019-01-10
	Rep	Dealing in securities	2019-01-07	2019-01-10
	Rep	Dealing in futures contracts	2018-10-24	2018-11-02
	Rep	Dealing in securities	2018-10-24	2018-11-02
	Rep	Dealing in securities	2018-07-23	2018-07-29
	Rep	Dealing in securities	2018-04-19	2018-04-27
	Rep	Dealing in securities	2017-10-19	2017-10-27
	Rep	Dealing in securities	2017-07-13	2017-07-20
	Rep	Dealing in securities	2017-01-20	2017-01-26
	Rep	Dealing in securities	2016-05-19	2016-05-27
	Rep	Dealing in securities	2016-02-11	2016-02-18
	Rep	Dealing in securities	2015-12-15	2015-12-18