Personnel Hong Kong SFC License Details (ID 96642)

Personnel Hong Kong SFC License Details (ID 96642)

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2024-05-20	-
	Rep	Dealing in futures contracts	2024-05-20	-
	Rep	Dealing in securities	2024-05-20	-
Citadel Securities (Hong Kong) Limited	RO	Dealing in futures contracts	2021-05-26	2022-04-07
	RO	Dealing in securities	2021-05-26	2022-04-07
	Rep	Dealing in futures contracts	2021-04-26	2021-05-26
	Rep	Dealing in securities	2021-04-26	2021-05-26
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2019-02-26	2021-01-22
UBS SECURITIES ASIA LIMITED	RO	Dealing in securities	2018-06-27	2021-01-22
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2018-06-27	2021-01-22
	Rep	Dealing in securities	2016-12-19	2018-06-27
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-09-12	2014-02-28
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-09-12	2018-06-27
	Rep	Dealing in futures contracts	2011-09-12	2021-01-22
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-09-12	2016-12-18
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-04-02	2009-04-22