Personnel Hong Kong SFC License Details (ID 78489)

Personnel Hong Kong SFC License Details (ID 78489)

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
BARCLAYS CAPITAL ASIA LIMITED	RO	Dealing in securities	2014-08-15	2016-07-13
DEUTSCHE SECURITIES ASIA LIMITED	RO	Advising on securities	2012-02-13	2014-05-16
	RO	Providing automated trading services	2012-02-13	2014-05-16
	RO	Dealing in securities	2012-02-13	2014-05-16
	Rep	Providing automated trading services	2010-06-24	2012-02-13
	Rep	Dealing in securities	2009-06-03	2012-02-13
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2007-06-28	2009-04-24
	Rep	Dealing in securities	2007-06-28	2009-04-24
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-06-28	2009-04-24