Personnel Hong Kong SFC License Details (ID 68339)

Personnel Hong Kong SFC License Details (ID 68339)

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 HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2018-09-08
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-10-15	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2013-10-15	2018-09-08
	Rep	Dealing in securities	2013-10-15	2018-09-08
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on securities	2004-12-15	2005-06-21
	RO	Dealing in securities	2004-12-15	2005-06-21
	RO	Advising on futures contracts	2004-04-16	2013-01-29
	RO	Dealing in futures contracts	2004-04-16	2013-01-29
	Rep	Advising on futures contracts	2003-12-06	2004-04-16
	Rep	Dealing in futures contracts	2003-12-06	2004-04-16
J.P. MORGAN FUTURES HONG KONG LIMITED	Rep	Asset management	-	2003-12-04
	Rep	Providing automated trading services	-	2003-12-04
	Rep	Advising on futures contracts	-	2003-12-06
	Rep	Dealing in futures contracts	-	2003-12-06