Personnel Hong Kong SFC License Details (ID 2592390)

Personnel Hong Kong SFC License Details (ID 2592390)

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
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2026-09-11	2026-09-18
	Rep	Advising on securities	2026-09-11	2026-09-18
	Rep	Dealing in securities	2026-09-11	2026-09-18
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2026-09-11	2026-09-18
	Rep	Dealing in futures contracts	2026-09-11	2026-09-18
	Rep	Dealing in securities	2026-09-11	2026-09-18
Morgan Stanley Asia Limited	Rep	Dealing in securities	2024-12-06	2024-12-20
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2024-12-06	2024-12-20
	Rep	Dealing in futures contracts	2024-12-06	2024-12-20
	Rep	Dealing in securities	2024-12-06	2024-12-20
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	2020-01-04
	Rep	Dealing in futures contracts	2016-12-19	2020-01-04
	Rep	Dealing in securities	2016-12-19	2020-01-04
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-06-15	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2016-06-15	2020-01-04
	Rep	Dealing in securities	2016-06-15	2020-01-04
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-06-15	2016-12-18
	Rep	Dealing in securities	2016-06-15	2016-12-18