Personnel Hong Kong SFC License Details (ID 53556)

Personnel Hong Kong SFC License Details (ID 53556)

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
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-02-03	2009-10-31
	Rep	Dealing in securities	2009-01-19	2009-10-31
Astrum Capital Management Limited (HK)	Rep	Asset management	2007-04-17	2009-01-08
	RO	Dealing in securities	2007-04-17	2009-01-08
	Rep	Dealing in securities	2007-03-20	2007-04-17
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-04-20	2007-02-17
Merrill Lynch Far East Limited	Rep	Dealing in securities	2005-04-20	2007-02-17
FOX-PITT, KELTON (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-09-26
	Rep	Asset management	-	2003-09-26
	Rep	Advising on securities	-	2005-04-15
	Rep	Dealing in securities	-	2005-04-15