Personnel SFC Licences and HKMA Registrations (ID 2702648)

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	Advising on securities	2026-10-13	-
	Rep	Advising on securities	2026-05-22	2026-06-01
	Rep	Advising on securities	2025-11-18	2025-11-21
	Rep	Advising on securities	2025-05-23	2025-05-29
	Rep	Advising on securities	2024-10-28	2024-11-01
	Rep	Advising on securities	2024-05-24	2024-05-30
	Rep	Advising on securities	2024-01-12	2024-01-17
	Rep	Advising on securities	2022-12-01	2022-12-07
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2019-01-11	2019-01-16
	Rep	Advising on securities	2018-09-10	2018-09-12
	Rep	Advising on securities	2017-02-28	2017-03-02
	Rep	Dealing in securities	2017-02-28	2017-03-02

HKMA registrations

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

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