Personnel SFC Licences and HKMA Registrations (ID 28827150)

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 Asset Management (Hong Kong) Limited	Rep	Advising on securities	2024-08-05	-
	Rep	Dealing in securities	2024-08-05	-
	Rep	Advising on securities	2024-05-24	2024-05-31
	Rep	Dealing in securities	2024-05-24	2024-05-31
	Rep	Advising on securities	2024-03-18	2024-03-22
	Rep	Dealing in securities	2024-03-18	2024-03-22
	Rep	Advising on securities	2024-01-15	2024-01-19
	Rep	Dealing in securities	2024-01-15	2024-01-19
	Rep	Advising on securities	2023-10-27	2023-11-03
	Rep	Dealing in securities	2023-10-27	2023-11-03
	Rep	Advising on securities	2023-06-02	2023-06-09
	Rep	Dealing in securities	2023-06-02	2023-06-09
	Rep	Advising on securities	2023-01-13	2023-01-19
	Rep	Dealing in securities	2023-01-13	2023-01-19

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.