Personnel Hong Kong SFC License Details (ID 74845)

Personnel Hong Kong SFC License Details (ID 74845)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2025-02-17	-
	Rep	Dealing in securities	2025-02-17	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2023-07-18	2024-11-22
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2021-04-28	2024-11-22
	Rep	Dealing in securities	2021-03-23	2024-11-22
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2021-03-23	2024-11-22
SG SECURITIES (HK) LIMITED	Rep	Dealing in securities	2018-01-11	2021-02-19
CSOP Asset Management Limited	Rep	Dealing in securities	2015-07-22	2017-12-15
	Rep	Advising on securities	2015-01-29	2017-12-15
	Rep	Asset management	2015-01-29	2017-12-15
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-05-31	2014-11-14
	Rep	Dealing in securities	2010-12-14	2014-11-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-12-14	2013-08-31