Personnel Hong Kong SFC License Details (ID 77853)

Personnel Hong Kong SFC License Details (ID 77853)

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 ASIA LIMITED	Rep	Dealing in futures contracts	2019-01-21	-
	Rep	Dealing in securities	2019-01-21	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2019-01-21	-
	Rep	Dealing in securities	2019-01-21	-
Citadel Asia Limited	Rep	Asset management	2016-01-11	2018-09-27
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2012-08-20	2015-10-24
	Rep	Dealing in futures contracts	2012-08-20	2015-10-24
	Rep	Dealing in securities	2012-08-20	2015-10-24
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2010-03-29	2012-03-31
	Rep	Dealing in securities	2010-03-29	2012-03-31
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2007-10-25	2009-12-08
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-09-15	2007-08-01