Personnel SFC Licences and HKMA Registrations (ID 28631369)

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 HONG KONG LIMITED	Rep	Advising on corporate finance	2025-08-15	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2022-08-01	2023-02-27
	Rep	Advising on corporate finance	2022-08-01	2025-07-31

HKMA registrations

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

HKMA registration number: AJ0163

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
UBS AG	Dealing in securities	Non-EO	INV. BANKING ASSOCIATE	2025-08-19	—	Current
UBS AG	Advising on securities	Non-EO	INV. BANKING ASSOCIATE	2025-08-19	—	Current
UBS AG	Advising on corporate finance	Non-EO	INV. BANKING ASSOCIATE	2025-08-19	—	Current
BNP PARIBAS	Dealing in securities	Non-EO	—	2022-08-17	2023-02-14	Former
BNP PARIBAS	Advising on corporate finance	Non-EO	—	2022-08-17	2025-07-31	Former