Personnel Hong Kong SFC License Details (ID 30481773)

Personnel Hong Kong SFC License Details (ID 30481773)

Key Data SFC Licenses Public Disciplinary Actions

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Dealing in securities	2026-08-31	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2025-05-30	2026-02-24
	Rep	Dealing in securities	2025-05-30	2026-02-24
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-05-30	2026-02-24
	Rep	Dealing in securities	2025-05-30	2026-02-24
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2023-08-28	2024-01-28
	Rep	Dealing in securities	2023-08-28	2024-01-28
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2023-08-28	2023-10-25
	Rep	Dealing in securities	2023-08-28	2024-01-28