Personnel Hong Kong SFC License Details (ID 69693)

Personnel Hong Kong SFC License Details (ID 69693)

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	2014-03-06	2014-12-11
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2011-05-30	2012-10-22
	Rep	Dealing in securities	2011-05-30	2012-10-22
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2006-08-29	2008-09-02
	Rep	Dealing in securities	2006-08-29	2008-09-02
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2005-02-03	2006-03-17
	Rep	Advising on securities	2005-02-03	2006-03-17
	Rep	Dealing in securities	2005-02-03	2006-03-17