Personnel Hong Kong SFC License Details (ID 69520)

Personnel Hong Kong SFC License Details (ID 69520)

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	Advising on corporate finance	2017-10-20	2019-05-31
BOCOM International Securities Limited	Rep	Advising on securities	2016-06-16	2017-08-24
	Rep	Dealing in securities	2016-06-16	2017-08-24
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2016-05-16	2017-08-24
	Rep	Dealing in securities	2016-05-16	2017-08-24
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2010-09-28	2016-01-21
	Rep	Dealing in securities	2010-09-28	2016-01-21