Personnel Hong Kong SFC License Details (ID 96644)

Personnel Hong Kong SFC License Details (ID 96644)

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 DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-07-06	2013-01-25
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-07-06	2013-01-25
	Rep	Dealing in securities	2011-05-11	2013-01-25
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-05-11	2013-01-25
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2009-04-30	2009-05-25
	Rep	Dealing in securities	2007-06-08	2008-11-24
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-01-21
	Rep	Advising on securities	-	2004-01-21
	Rep	Asset management	-	2004-01-21
	Rep	Dealing in securities	-	2008-11-24