Personnel Hong Kong SFC License Details (ID 83286)

Personnel Hong Kong SFC License Details (ID 83286)

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 HONG KONG LIMITED	Rep	Providing automated trading services	2022-02-24	2022-10-06
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2022-01-25	2022-10-06
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2022-01-25	2022-10-06
MIB SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2016-07-08	2021-10-11
	Rep	Dealing in securities	2014-12-01	2016-07-08
SG SECURITIES (HK) LIMITED	Rep	Dealing in securities	2014-02-06	2014-07-31
BTIG Hong Kong Limited	Rep	Dealing in securities	2012-10-22	2013-06-28
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2010-08-17	2012-07-17
GFI (HK) SECURITIES L.L.C.	Rep	Dealing in securities	2008-11-14	2010-07-16
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2005-12-01	2008-05-30
	Rep	Advising on corporate finance	-	2004-12-09
	Rep	Advising on securities	-	2004-12-09
	Rep	Asset management	-	2004-12-09
	Rep	Providing automated trading services	-	2004-12-09
	Rep	Dealing in securities	-	2008-05-30
BEAR STEARNS HONG KONG LIMITED	Rep	Advising on futures contracts	-	2004-12-09
	Rep	Asset management	-	2004-12-09
	Rep	Dealing in futures contracts	-	2004-12-09