Personnel Hong Kong SFC License Details (ID 71416)

Personnel Hong Kong SFC License Details (ID 71416)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2026-09-09	-
	Rep	Advising on securities	2026-09-09	-
	Rep	Dealing in securities	2026-09-09	-
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2021-10-21	2026-05-15
	Rep	Advising on corporate finance	2016-12-19	2021-10-21
	Rep	Advising on corporate finance	2015-03-06	2016-12-18
KGI CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2014-11-13	2015-02-14
	Rep	Dealing in securities	2014-11-13	2015-02-14
BOCOM International (Asia) Limited	Rep	Advising on corporate finance	2010-08-25	2014-10-23
	Rep	Dealing in securities	2010-08-25	2014-10-23