Personnel SFC Licences and HKMA Registrations (ID 2633423)

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 corporate finance	2021-10-18	-
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2017-12-18	2021-09-03
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2016-09-15	2017-10-21
	Rep	Advising on securities	2016-09-15	2017-10-21
	Rep	Dealing in securities	2016-09-15	2017-10-21

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AH6582

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
摩根士丹利銀行亞洲有限公司	Dealing in securities	Non-EO	PRIVATE WEALTH MANAGEMENT	2021-10-16	—	Current
UBS AG	Dealing in securities	Non-EO	—	2017-12-12	2021-09-03	Former
UBS AG	Advising on securities	Non-EO	—	2017-12-12	2021-09-03	Former
UBS AG	Advising on corporate finance	Non-EO	—	2017-12-12	2021-09-03	Former