Personnel SFC Licences and HKMA Registrations (ID 29538255)

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	2024-03-19	-
	Rep	Dealing in securities	2024-03-19	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2024-03-19	-
	Rep	Dealing in futures contracts	2024-03-19	-
	Rep	Dealing in securities	2024-03-19	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2023-04-11	2024-02-25
	Rep	Dealing in securities	2023-04-11	2024-02-25

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.