Personnel SFC Licences and HKMA Registrations (ID 28874540)

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	Dealing in futures contracts	2026-02-13	-
	Rep	Dealing in securities	2026-02-13	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2026-02-13	-
	Rep	Dealing in futures contracts	2026-02-13	-
	Rep	Dealing in securities	2026-02-13	-
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2023-03-01	2025-09-29

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.