Personnel Hong Kong SFC License Details (ID 88235)

Personnel Hong Kong SFC License Details (ID 88235)

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
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2014-08-06	-
	Rep	Advising on securities	2014-08-06	-
	Rep	Dealing in securities	2014-08-06	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2014-08-06	-
	Rep	Dealing in futures contracts	2014-08-06	-
	Rep	Dealing in securities	2014-08-06	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2012-08-20	2014-04-18
	Rep	Dealing in securities	2012-08-20	2014-04-18
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2012-08-20	2014-04-18
	Rep	Dealing in securities	2012-08-20	2014-04-18
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2011-12-30	2012-07-17
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2011-12-30	2012-07-17
MF Global Hong Kong Limited	Rep	Dealing in futures contracts	2010-06-09	2011-11-11
	Rep	Dealing in securities	2010-06-09	2011-11-11