Personnel Hong Kong SFC License Details (ID 69561)

Personnel Hong Kong SFC License Details (ID 69561)

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 Asset Management (Hong Kong) Limited	Rep	Asset management	2017-01-06	2018-06-04
	Rep	Dealing in futures contracts	2017-01-06	2018-06-04
	Rep	Dealing in securities	2017-01-06	2018-06-04
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2011-04-26	2016-10-31
	Rep	Dealing in securities	2011-04-26	2016-10-31
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-20	2010-09-30
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2009-08-27	2010-09-30
Merrill Lynch Far East Limited	Rep	Dealing in securities	2009-08-27	2010-09-30
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-08-27	2010-08-20
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-01-02	2009-05-08
	Rep	Dealing in securities	2009-01-02	2009-05-08