Personnel Hong Kong SFC License Details (ID 89229)

Personnel Hong Kong SFC License Details (ID 89229)

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	Dealing in futures contracts	2019-02-22	-
	Rep	Providing automated trading services	2016-12-19	-
	Rep	Dealing in securities	2016-12-19	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2016-08-16	-
	Rep	Dealing in securities	2016-08-16	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-08-16	2016-12-18
	Rep	Dealing in securities	2016-08-16	2016-12-18
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2014-02-21	2016-06-30
	Rep	Dealing in securities	2014-02-21	2016-06-30
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2011-08-10	2013-09-05
	Rep	Dealing in securities	2011-08-10	2016-06-30
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2011-08-10	2013-09-05
	Rep	Dealing in futures contracts	2011-08-10	2016-06-30