Personnel Hong Kong SFC License Details (ID 89093)

Personnel Hong Kong SFC License Details (ID 89093)

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	2023-08-01	-
	Rep	Dealing in securities	2023-08-01	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2023-08-01	-
	Rep	Dealing in futures contracts	2023-08-01	-
	Rep	Dealing in securities	2023-08-01	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2023-01-31
	Rep	Dealing in futures contracts	2010-12-06	2023-01-31
	Rep	Dealing in securities	2009-04-03	2023-01-31
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2004-07-05	2013-07-24
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2004-07-05	2010-12-06
	Rep	Dealing in futures contracts	2004-07-05	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2004-06-14	2023-01-31
	Rep	Dealing in securities	2004-03-22	2004-04-12
	Rep	Dealing in securities	2003-09-04	2003-09-17
	Rep	Dealing in securities	2003-07-30	2003-08-13