Personnel Hong Kong SFC License Details (ID 90681)

Personnel Hong Kong SFC License Details (ID 90681)

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	2019-08-21	2021-03-17
	Rep	Dealing in securities	2019-08-21	2021-03-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2019-08-21	2021-03-17
	Rep	Dealing in securities	2019-08-21	2021-03-17
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2012-06-27	2014-08-01
	Rep	Dealing in securities	2012-06-27	2014-08-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2010-07-09	2012-05-14