Personnel Hong Kong SFC License Details (ID 77480)

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2025-08-22	-
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2024-10-09	2025-04-14
	RO	Dealing in securities	2024-10-09	2025-04-14
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in futures contracts	2024-10-09	2025-04-14
	RO	Dealing in securities	2024-10-09	2025-04-14
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2023-12-14	2024-10-09
	Rep	Dealing in securities	2023-12-14	2024-10-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2023-12-14	2024-10-09
	Rep	Dealing in securities	2023-12-14	2024-10-09
Credit Suisse (Hong Kong) Limited	RO	Advising on futures contracts	2019-07-18	2023-12-03
	RO	Advising on securities	2019-07-18	2023-12-03
Credit Suisse Securities (Hong Kong) Limited	RO	Advising on securities	2019-07-18	2023-12-03
Credit Suisse (Hong Kong) Limited	RO	Dealing in futures contracts	2017-11-15	2023-12-03
	RO	Dealing in securities	2017-11-15	2023-12-03
Credit Suisse Securities (Hong Kong) Limited	RO	Dealing in securities	2017-11-15	2023-12-03
	Rep	Dealing in securities	2010-11-02	2017-11-15
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2009-08-18	2013-11-01
	Rep	Dealing in futures contracts	2009-08-18	2017-11-15
	Rep	Dealing in securities	2009-08-18	2017-11-15
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2007-06-07	2009-07-10
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2007-06-07	2009-07-10
	Rep	Dealing in securities	2007-06-07	2009-07-10
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-06-07	2009-07-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-07-13	2007-05-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-07-13	2007-05-10