Personnel Hong Kong SFC License Details (ID 96633)

Personnel Hong Kong SFC License Details (ID 96633)

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	RO	Providing automated trading services	2016-12-19	2025-02-11
	RO	Dealing in futures contracts	2016-12-19	2025-02-11
	RO	Dealing in securities	2016-12-19	2025-02-11
	RO	Providing automated trading services	2011-07-06	2016-12-18
UBS DERIVATIVES HONG KONG LIMITED	RO	Dealing in futures contracts	2009-05-06	2016-12-18
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2009-05-06	2025-02-11
	RO	Dealing in securities	2009-05-06	2025-02-11
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2009-05-06	2016-12-18
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2005-11-29	2009-05-06
	RO	Dealing in futures contracts	2005-07-08	2005-11-29
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2005-02-04
	Rep	Advising on futures contracts	-	2005-02-04
	Rep	Asset management	-	2005-02-04
	Rep	Advising on securities	-	2005-03-24
	Rep	Dealing in futures contracts	-	2009-05-06
	Rep	Dealing in securities	-	2009-05-06