Personnel Hong Kong SFC License Details (ID 93444)

Personnel Hong Kong SFC License Details (ID 93444)

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
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2021-08-24	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2021-08-24	-
	Rep	Dealing in securities	2021-08-24	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2021-05-11
	Rep	Dealing in securities	2016-12-19	2021-05-11
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-07-07	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2014-07-07	2021-05-11
	Rep	Dealing in securities	2014-07-07	2021-05-11
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-07-07	2016-12-18
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2013-03-25	2014-04-10
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2013-03-25	2014-04-10
	Rep	Dealing in securities	2013-03-25	2014-04-10
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2008-09-26	2013-01-08
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-03-21	2008-06-01
PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS)	Rep	Dealing in securities	2006-12-14	2008-06-01