Personnel Hong Kong SFC License Details (ID 88848)

Personnel Hong Kong SFC License Details (ID 88848)

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	RO	Dealing in securities	2024-10-09	2025-12-03
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2024-10-09	2025-12-03
	Rep	Dealing in securities	2016-12-19	2024-10-09
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2016-08-24	2024-10-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2016-08-24	2016-12-18
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2016-05-12
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-10-27	2013-09-05
	Rep	Dealing in securities	2010-10-27	2016-05-12
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-10-27	2010-12-06
	Rep	Dealing in futures contracts	2010-10-27	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2010-10-27	2013-09-05
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-07	2010-07-26
	Rep	Dealing in futures contracts	2008-11-07	2010-07-26
	Rep	Dealing in securities	2006-03-24	2010-07-26
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2006-03-24	2008-11-24
	Rep	Dealing in futures contracts	2006-03-24	2008-11-24