Personnel Hong Kong SFC License Details (ID 78402)

Personnel Hong Kong SFC License Details (ID 78402)

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	2025-06-13	2026-03-02
	Rep	Dealing in securities	2025-06-13	2026-03-02
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-06-13	2026-03-02
	Rep	Dealing in securities	2025-06-13	2026-03-02
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2025-05-06	2025-05-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-05-06	2025-05-09
DEUTSCHE SECURITIES ASIA LIMITED	RO	Advising on futures contracts	2017-07-07	2020-02-04
	RO	Dealing in futures contracts	2017-07-07	2023-11-23
	RO	Dealing in securities	2017-07-07	2023-11-23
	Rep	Dealing in futures contracts	2011-03-07	2017-07-07
	Rep	Dealing in securities	2011-03-07	2017-07-07
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2008-06-26	2010-10-28
	Rep	Dealing in securities	2008-06-26	2010-10-28