Personnel SFC Licences and HKMA Registrations (ID 93557)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2024-09-09	-
	Rep	Dealing in securities	2024-09-09	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2023-09-18	2024-05-10
	Rep	Dealing in securities	2023-09-18	2024-05-10
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2023-09-18	2024-05-10
	Rep	Dealing in securities	2023-09-18	2024-05-10
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2022-12-08	2023-08-11
	Rep	Dealing in securities	2022-12-08	2023-08-11
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2022-12-08	2023-08-11
	Rep	Dealing in securities	2022-12-08	2023-08-11
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2021-09-20	2022-09-05
	Rep	Dealing in securities	2015-05-29	2022-09-05
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-07-12	2015-05-24
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2013-07-12	2015-05-24
	Rep	Dealing in securities	2013-07-12	2015-05-24
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2013-07-12	2015-05-24
	Rep	Dealing in securities	2013-07-12	2015-05-24
Religare Capital Markets (Hong Kong) Limited	Rep	Dealing in securities	2011-02-15	2012-10-19

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.