Personnel Hong Kong SFC License Details (ID 89264)

Personnel Hong Kong SFC License Details (ID 89264)

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	2021-07-26	-
	Rep	Dealing in securities	2021-07-26	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2021-07-26	-
	Rep	Dealing in futures contracts	2021-07-26	-
	Rep	Dealing in securities	2021-07-26	-
Citigroup Global Markets Asia Limited	Rep	Providing automated trading services	2018-06-11	2021-04-28
	Rep	Dealing in futures contracts	2018-06-11	2021-04-28
	Rep	Dealing in securities	2018-06-11	2021-04-28
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2014-05-26
	Rep	Dealing in securities	2013-07-03	2014-05-26
	Rep	Dealing in futures contracts	2010-12-06	2014-05-26
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-06-04	2013-07-24
	Rep	Dealing in securities	2010-06-04	2014-05-26
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-06-04	2010-12-06
	Rep	Dealing in futures contracts	2010-06-04	2010-12-06
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-04-20	2006-08-14
	Rep	Dealing in securities	2006-04-20	2006-08-14
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-04-20	2006-08-14
	Rep	Dealing in futures contracts	2006-04-20	2006-08-14